About this role
About the Role You will report to the Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function of Intesa Sanpaolo. The role focuses on RCC activities including maintaining the Watch and Restricted List, reviewing bank transactions and employee trading data for conflicts of interest, monitoring employee communications, and mandatory compliance training completion, as well as conducting testing for compliance with bank policies and regulations. The position also provides compliance advisory support on topics and related projects as needed. What You'll Do
- Manage WRL processes, including deal/transaction and staff registration in the WRL platform
- Provide timely guidance on WRL and wall-crossing, liaising with HO Compliance and resolving issues effectively
- Coordinate with business units and HO on complex WRL scenarios
- Review and approve deal closures and wall-crossing requests
- Ensure compliance with WRL policies and escalate breaches
- Perform e-communications and employee trade surveillance, identifying conflicts or risks
- Monitor compliance training completion
- Administer the compliance platform (profiles, attestations, reporting, vendor coordination)
- Provide guidance on personal trading rules
- Execute monitoring/testing under the RCC Program and track issues
- Support reporting, audits, regulatory reviews and RCC projects