Employment Listings

Posted: October 21, 2008

Signature Bank, a $6 plus billion bank based in New York, and Signature Securities Group (SSG), it’s wholly owned subsidiary, are seeking a dedicated individual for their midtown headquarters. Signature’s focus is delivering high-quality services to a select clientele, with attention to developing a professional and lasting relationship with our clients. We currently have the following exciting opportunity:

Chief Compliance Officer
Position is responsible for compliance and regulatory oversight of all business lines, including private client groups, consumer/commercial lending, mortgage, brokerage, registered investment adviser, and insurance and comprehensive Anti-Money Laundering and Know Your Client program, including review of Suspicious Activity and pro-active, professional coordination with Private Client Groups.

The Chief Compliance Officer reports to the President/CEO of SSG and the Chief Operating Officer of Signature Bank. The candidate will manage a broad array of regulatory matters involving both the brokerage and banking businesses. Duties include but are not limited to:

• Administration of formal bank compliance program, including procedures for monitoring compliance areas, developing training, investigating issues, and risk assessment.
• Conducting annual branch and OSJ audits, annual compliance meeting and training for new hires/registered representatives.
• Performing surveillance of employee brokerage accounts, daily blotter review, and approval of outside employment/activities in line with NASD requirements.
• Supervising the handling of all written complaints, investigating and recommending the appropriate course of action and filing with the NASD.
• Monitoring regulatory changes and implementing them within our business lines.
• Responsible for overseeing the Bank's Securities Trading Policy including the monitoring of both employee trading and the Bank's "Blackout" Period thus ensuring there are no violations of the Securities Exchange Act of 1934.
• Coordinating and acting as Signature’s liaison on bank and brokerage regulatory exams.
• Supervision and support compliance staff.

Bachelor’s degree required. Minimum 10 years experience in compliance department of a financial institution. Series 7, 63 and 24 required. New York State life/health insurance licenses are strongly encouraged but not required.

Signature Bank offers a competitive compensation and benefits package for qualified employees, including medical, dental, vision, tuition reimbursement & 401k plans.

EOE m/f/d/v

If interested, please CLICK HERE to send your resume or fax your resume and salary requirements to (646) 758-8376. RESUMES WITHOUT SALARY REQUIREMENTS WILL NOT BE CONSIDERED. Please include the job you are applying for in the subject line of the cover letter.


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