New 
Business Unit Compliance Officer - New York, NY
 Valley National Bank | |
 United States, New York, New York | |
 Feb 22, 2026 | |
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Responsibilities include but are not limited to:
* Design and execute on comprehensive control and testing framework pursuant to SEC Rule 206(4)-7; assist with testing framework pursuant to FINRA 3120. * Prepare Form ADV materials. * Prepare annual 206(4)-7 report to senior management/Board of Directors. * Establish and maintain compliance programs for business line and drive a culture of compliance within the firm. * Identify and assess the firm's compliance risks and perform the annual risk assessment. * Conduct, no less than annually, a compliance meeting wherein compliance matters relevant to all supervised persons' activities are discussed. * Conduct and document ongoing compliance training for all employees. * Monitor client communication notices, including correspondence and email. * Review and respond to client complaints. * Review and approve contracts, disclosure documentation and marketing materials. * Monitor supervised persons' securities transactions and personal securities holdings. Participate in and process responses for parent company audits and self-assessment inquiries. * Act as firm liaison with regulators and respond to all regulatory inquiries; liaise with outside counsel or consultants as needed. * Identify and monitor trends in regulatory and industry environments and assess their impact on the organization. * Research complex compliance issues and report recommendations to management. * Develop proactive compliance tools. * Maintain required registrations and filings, written supervisory policies and procedures manual. | |