ASSISTANT VICE PRESIDENT JOB DESCRIPTION

When KYC profiles lapse, sanctions alerts go unreviewed, or valuation controls slip, the consequences reach regulators before they reach management. The Assistant Vice President in banking operations and controls exists precisely to prevent that sequence. Spanning disciplines from AML compliance and OTC clearing to internal audit and financial reporting, this role carries accountability for the accuracy, timeliness, and regulatory fitness of the work it touches. It sits one level below the VP line, close enough to execution to catch failures early and senior enough to drive remediation across teams and geographies.

As the Assistant Vice President, you own a defined functional domain- compliance, operations, risk, or finance- and are accountable for its day-to-day performance against internal controls, regulatory requirements, and senior management expectations. You operate within a reporting structure that spans regional offices and global centers of excellence, collaborating directly with Front Office, Risk, Legal, and external regulators to deliver outcomes that hold up under audit scrutiny.

Career Impact: Owning a regulatory or controls function at the AVP level in banking builds demonstrated fluency in frameworks, AML/BSA, Sarbanes-Oxley, OFAC, or FRTB that commands senior-level credibility across the financial services market.

Business Impact: The accuracy of KYC renewals, valuation controls, and cleared transaction flows for institutional clients depends directly on the judgment this role applies daily, with errors surfacing in regulatory examinations and client P&L.

Growth Opportunity: The AVP seat is the established pathway to VP-level ownership of a full business line or risk function, with the breadth of cross-functional exposure- audit, treasury, operations, and compliance- accelerating progression toward that next title.

• Lead daily operational or compliance functions within a defined scope, ensuring adherence to internal controls and regulatory requirements.
• Review and validate client-facing deliverables, KYC profiles, audit reports, valuation outputs, or trade confirmations for accuracy and timely completion.
• Coordinate escalation workflows across Front Office, Risk, and Legal teams to resolve rejected transactions, control gaps, or regulatory inquiries.
• Monitor key risk indicators and control metrics, preparing management information reports with written commentary for senior stakeholders.
• Implement process improvements and automation enhancements that reduce manual error and increase throughput within the team.
• Partner with Compliance, Internal Audit, and external regulatory examiners to address findings and close action items within agreed deadlines.
• Mentor and develop junior staff through structured coaching, UAT leadership, and cross-training across departmental functions.
• Support senior leadership in drafting business plans, strategic recommendations, and governance submissions for committee and board-level audiences.

• Bachelor's degree in Finance, Accounting, Business, or a related field, or equivalent work experience.
• 5 or more years of experience in banking operations, risk management, compliance, or financial reporting, with demonstrated exposure to regulatory frameworks.
• Working knowledge of at least one core regulatory or compliance domain, such as AML/BSA, KYC, Sarbanes-Oxley, OFAC sanctions, or OTC clearing rules.
• Proven ability to prepare and present management information clearly to senior stakeholders, including written reports and verbal briefings.
• Strong analytical and problem-solving skills with the ability to assess risk, identify root causes, and recommend actionable remediation.
• Demonstrated experience managing competing priorities in a high-volume, deadline-driven environment with minimal direct oversight.
• Effective verbal and written communication skills, including the ability to liaise with internal partners across regions and functions.
• Proven interpersonal and stakeholder management skills, with experience working across Front Office, Legal, Finance, and Compliance teams.

• Relevant professional certification such as CAMS, CPA, CFA, FRM, or CIA, depending on the functional area of the role.
• Experience supporting internal or external audit engagements, regulatory examinations, or cross-border compliance reviews.
• Familiarity with financial products including derivatives, syndicated loans, structured instruments, or managed care contracts within a regulated environment.
• Prior exposure to process automation tools or data analytics platforms used in controls monitoring or financial reporting workflows.

• KYC renewal rate, measuring the percentage of client profiles refreshed within required regulatory timelines.
• Audit finding closure rate, tracking the percentage of agreed action items resolved by the committed deadline.
• Control exception rate per reporting cycle, reflecting the frequency of identified discrepancies relative to processed volume.
• Average escalation resolution time, measuring how quickly rejected trades or compliance alerts are addressed and closed.
• Management information report delivery accuracy, tracking the on-time, error-free submission rate to senior stakeholders.
• Typical tools: risk management platforms (commonly Helios or equivalent); trade settlement and OTC clearing systems (commonly LoanIQ, ClearPar); productivity and reporting suites (commonly Excel, PowerPoint, SQL-based reporting tools).

• Base Salary Range: $110,000 – $155,000 annually, depending on function and institution size
• Bonus: Annual discretionary performance bonus, typically 15%–30% of base salary
• Equity: Limited equity participation at this level; deferred compensation or RSUs at select institutions
• Health Benefits: Medical, dental, and vision coverage; employer-subsidized premiums standard
• PTO: 15–20 days annually, plus federal holidays and firm-designated leave
• Common Perks: Professional certification reimbursement, tuition assistance, 401(k) with employer match, employee assistance programs

Figures are estimates based on general US market benchmarks and may be outdated. Adjust based on location, company size, and seniority level.

Background checks, including criminal history and credit review where applicable under applicable law, are a condition of employment for this role. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, veteran status, or any other characteristic protected under federal, state, or local law. Reasonable accommodations are available to individuals with disabilities throughout the application and employment process upon request. Candidates must be authorized to work in the United States.

The Assistant Vice President owns the full Credit Risk Management function, directing discount window lending, payment system risk policy, and reserve administration for the division. Reporting to the Vice President of Reserves, Credit Risk Management and Applications, this role shapes outcomes across the Discount Window, Payment System Risk, and Reserve Administration business units, ensuring lending decisions, audits, and Federal Reserve Board operations reviews meet established policy and risk standards.

Leadership Responsibilities

• Direct discount window lending activity, collateral evaluation, administration of payment system risk policy, and reserve requirements, including monitoring adherence to Regulation D, while identifying and managing risk.
• Develop business plans and provide strategic direction and leadership for the Credit Risk Management function, including the Discount Window, Payment System Risk, and Reserve Administration business units.
• Oversee Credit Risk Management business activities and ensure accountability for lending and risk management decisions and outcomes.
• Ensure activities are conducted in a manner consistent with established policy, procedure, and risk and control requirements.
• Coordinate information flows on payment system risk issues and potential liquidity needs of depository institutions in unsatisfactory financial condition with relevant regulatory bodies and institutional management.
• Prepare and present the report of the district's lending activity to the Credit Risk Management Committee and oversee related reporting for the Board of Directors.
• Oversee and participate in projects related to Discount Window administration, Reserve Analysis, and Payment System Risk, including proposals and recommendations for senior staff and relevant committees.
• Recommend changes in policies, procedures, and guidelines for the Discount Window, Payment System Risk, and Reserve Administration to senior management and relevant committees.
• Develop and maintain strong working relationships with department and reserve bank leadership, other business lines, board staff, system groups, external regulatory agencies, and depository institutions.
• Provide clear direction to staff and managers, ensure people leaders are managing team performance, and identify opportunities for leadership development and succession.
• Provide ongoing feedback geared toward promoting a high-performing and inclusive work environment.
• Stay informed of relevant policy developments and industry trends.

Required Qualifications

• Master's degree or equivalent, with 20 years of work experience demonstrating applicable technical knowledge and managerial skills.
• Minimum of 10 years of management experience.
• Well-versed in the analysis of depository institution financial condition.
• Knowledge of discount window, payment system risk, and reserves administration policy and regulation is a plus.
• Demonstrated ability to make sound and pragmatic decisions under the purview of multiple stakeholders in a rapidly changing environment where limited or conflicting information is present.
• Proven ability to prioritize, reprioritize, and demonstrate appropriate agility to manage competing and sometimes conflicting priorities.
• Outstanding oral and written communication skills that effectively reach all levels of the organization.
• Inspirational leadership style that generates engagement and support, with the ability to lead, manage, develop, and provide constructive feedback to managers and staff.
• Ability to think strategically and productively drive change.
• Strong interpersonal skills, sound organizational awareness, and the ability to build and maintain collaborative relationships with stakeholders across divisions.
• Ability to influence situations, effect outcomes, and resolve conflict.

Embedded within the reinsurance analytics team, the Assistant Vice President develops catastrophe model outputs across physical, financial, and economic dimensions to support client placement decisions. Working closely with broking teams, clients, prospects, and reinsurers, this role builds meaningful content for prospecting, trains junior staff, and delivers modeled analysis that enables informed reinsurance financial placement outcomes.

Core Functions

• Analyze client exposure value data and assess fitness for use for catastrophe modeling.
• Use commercial catastrophe modeling software to measure physical and economic loss from catastrophes for clients and prospects.
• Interpret and explain model physical, financial, and economic outputs to colleagues, brokers, clients, prospects, and reinsurers.
• Present modeled output in various forms to colleagues, brokers, clients, prospects, and reinsurers.
• Work closely with all stakeholders on all aspects of the reinsurance financial placement process.
• Work with broking teams in a prospecting capacity to develop meaningful content targeting the needs of reinsurance clients.
• Participate in creative problem-solving of complex issues facing clients and prospective clients.
• Identify opportunities and potential solutions for increased efficiency within the analyst workflow.
• Train, groom, and mentor junior staff in all aspects of the above responsibilities.

Qualifications & Experience

• Bachelor's degree with 5 years of related experience required.
• Minimum of 2 years of catastrophe modeling experience.
• Experience using GIS software.
• Ability to apply advanced mathematical, economic, and statistical concepts and to process and understand data quickly and creatively.
• Ability to understand model input data and explain outputs, including the economic and regulatory context of catastrophe modeling.
• Proficient understanding of reinsurance and insurance financial terms.
• Skills in MS Excel, SQL Server, and detailed commercial catastrophe models, including RMS, AIR, and EQE, with proven use of the model required.
• Strong communication skills with exceptional attention to detail.
• Ability to effectively prioritize assignments and work in an unstructured environment.

Reporting to the Transaction Services team, the Assistant Vice President facilitates complex OTC cleared transaction types end-to-end within Citi's Markets Operations Organization. Partnering with Product Development, Credit, and Risk teams, this role delivers strategic support for new products, clearing platforms, and industry initiatives while ensuring OTC cleared transactions comply with internal policies and controls for NAM clients.

Primary Duties

• Facilitate and manage cleared activity flow for NAM clients as their clearing broker.
• Work with the Product Development team to provide strategic support for new products, clearing platforms, and industry initiatives.
• Work with Credit and Risk teams to address rejected client trades and assist with adjusting client limits in internal systems as needed.
• Assist platinum clients in exploring compression opportunities, including coupon blending and TriOptima, outside of standard risk-free netting.
• Ensure OTC cleared transactions and processes are executed correctly and comply with internal policies and controls.
• Aid with the transition, alignment, and stabilization efforts of critical operations functions.
• Cross-train for various internal roles within the department and provide back-up coverage for those roles as needed.
• Assist with operational processes, process improvements, and control, risk, and transaction services projects.
• Perform all required tasks within established procedures and controls to minimize losses, and appropriately assess risk when business decisions are made, including escalating, managing, and reporting control issues with transparency.

Skills & Qualifications

• Bachelor's degree or equivalent experience.
• 3–5 years of relevant experience preferred.
• OTC product and clearing house knowledge is a plus.
• Cash and trade operations experience and knowledge.
• Superior analytical and problem-solving skills.
• Strong attention to detail and a commitment to delivering excellent service to a demanding global client base.
• Effective verbal and written communication skills.
• Self-motivated with strong organizational skills.

Sitting at the intersection of operational management and client service delivery, the Assistant Vice President leads call center performance by developing benchmarks, overseeing staffing levels, and creating strategic recommendations that balance service level objectives with operational expense. Operating across client relationships and internal teams, this role reports to the Vice President of Customer Service and enables overall company profitability by ensuring regulatory risk controls, one-call resolution outcomes, and employee engagement standards are met.

Duties

• Develop expert-level knowledge of all facets of the call center.
• Develop benchmarks using metrics, industry standards, and original concepts.
• Ensure current standards, best-practice tools, templates, and processes are used effectively.
• Review existing and forecasted call volume against current staffing levels and take appropriate action to ensure service level objectives and quality standards are met.
• Identify and capitalize on opportunities to improve the customer experience, with an emphasis on one-call resolution.
• Create strategic recommendations to improve productivity while balancing client service level objectives, quality of service, and operational expense.
• Review call center performance with clients, resolve issues, and operationalize servicing requirement changes, including support for all activities related to new client acquisition.
• Coach and mentor junior staff, ensuring development plans are in place, progress is tracked, and performance coaching occurs to achieve business objectives.
• Create a positive employee experience to improve engagement and retention, and serve as a role model to others.

Experience & Qualifications

• Bachelor's degree and equivalent experience, preferably in a 500-seat or larger call center.
• 3–5 years of call center management experience, preferably in mortgage servicing.
• Experience working within a fast-paced, high-growth organization.
• Strong knowledge of banking compliance regulations, preferably in financial services.
• Advanced skills using the Microsoft Office Suite.
• Knowledge of the Community Workforce Management Platform and Avaya (CMS) is a plus.
• Excellent written and verbal communication skills, including experience meeting with and communicating information to senior executives.
• Ability to perform well in a high-stress environment with rapidly changing priorities and tight deadlines.
• Ability to influence and lead others without direct authority.

A key member of the Morgan Stanley Tax Department, the Assistant Vice President delivers international tax compliance and provision management for non-US subsidiaries, covering foreign tax credit limitation calculations across General, Branch, and GILTI baskets. Collaborating across a global workforce with tax, legal, and finance stakeholders, this role produces timely and accurate filings, supports US tax audit matters, and builds deep functional knowledge of US income tax compliance, planning, accounting, and reporting.

Accountabilities

• Manage compliance-related issues and tax planning analysis for foreign subsidiaries and their hybrid subsidiaries in various non-US jurisdictions.
• Review the foreign tax credit limitation calculation for each basket, including General, Branch, and GILTI.
• Review quarterly analysis for assigned entities for tax provision purposes, reflecting current planning scenarios under consideration and capturing any significant US tax accounting adjustments.
• Analyze the income tax accounting impact of transactions.
• Review Forms 5471, 8865, 8858, 8992, 8993, and 1118, and other associated US tax compliance tasks.
• Gather data for US information reporting about CFCs, CFPs, and minority investments, and ensure that tax law changes or structural changes are appropriately reported on relevant US tax returns.
• Ensure timely and accurate filing of tax returns.
• Assist in all US tax audit-related matters and comply with Sarbanes-Oxley requirements.

Technical Qualifications

• Bachelor's degree in accounting.
• Master's in taxation and CPA preferred.
• 8+ years of hands-on experience in international tax, preferably in a large corporate environment or sophisticated accounting firm.
• Strong analytical, organizational, and interpersonal skills.
• Strong communication skills, including the ability to simplify and communicate complex business information.
• Ability to interact effectively with all levels of personnel across a global workforce.
• Strong time management and multitasking skills.

Profitable growth in private company management liability lines depends on the Assistant Vice President, who grows assigned territory production by establishing agency relationships, driving underwriting strategies, and cultivating insurtech and affinity business. Based within the assigned region and reporting to the Regional Vice President of Berkley Management Protection, this role serves as a key commercial driver, enabling expansion across D&O, Cyber, EPL, Crime, and Fiduciary product lines through direct agency planning and distribution management.

Key Responsibilities

• Grow private company management liability lines of business in the assigned territory.
• Work closely with regional and senior leadership to establish and implement a sales culture and develop underwriting and business strategies within the region and nationally.
• Establish strong relationships with agents to drive mutually beneficial results through agency planning, production, and growth, and manage distribution and negotiate agency appointment agreements.
• Cultivate and pursue relationships in insurtech and affinity business.
• Monitor competitors' offerings and emerging industry issues.
• Mentor junior colleagues regarding sales acumen and product knowledge.
• Embrace relevant technology and actively improve skillset through formal and informal learning.
• Identify new and innovative ideas to continually challenge the status quo and influence the structure of the region to capitalize on the strengths of individual team members.

Position Requirements

• Bachelor's degree required.
• Minimum of 7 years of experience in a combination of sales and underwriting roles, specifically in the management liability space.
• Prior management experience preferred.
• Demonstrated experience in developing new agent relationships with strong sales acumen.
• Deep product knowledge within the management liability suite of products, including D&O, Cyber, EPL, Crime, and Fiduciary.
• Strong written and verbal communication, negotiation, and interpersonal skills, with the ability to self-organize, prioritize, and request help when needed.
• Execution-oriented with attention to detail, driven by natural curiosity and a competitive spirit.

As the Assistant Vice President, this role delivers sanctions advisory and risk assessment services across EMEA, evaluating proposed transactions, reviewing KYC onboarding alerts, and providing guidance on sanctions clauses in contractual agreements. The Compliance team relies on this work to maintain robust financial crime risk controls, ensuring timely and accurate Customer Due Diligence across OFAC and EU regulatory frameworks.

Key Deliverables

• Provide timely and consistent sanctions advice to key stakeholders regarding potential transactions.
• Conduct risk assessments on proposed transactions.
• Evaluate and provide advice regarding sanctions clauses in contractual agreements.
• Review sanctions alerts identified during Know Your Customer onboarding and periodic review.
• Liaise with key stakeholders to perform Customer Due Diligence when a sanctions nexus is identified.
• Review and assess New Product Approvals in the EMEA region from a sanctions perspective.
• Assist in the collection of customer information about sanctions data.

Knowledge Skills & Abilities

• Proven experience in and strong knowledge of sanctions, including OFAC and EU regulations.
• Strong knowledge of and experience in banking, including a good understanding of banking and investment products.
• Broad understanding of financial crime risk, including AML and anti-bribery and corruption, in a banking context.
• Good understanding of the concepts of risk management and control.
• MS Office skills.
• Strong analytical skills with excellent attention to detail and accuracy.
• Strong written and verbal communication skills with excellent interpersonal and relationship-building skills.
• Ability to manage large workloads and tight deadlines, operate with urgency, and perform well in a pressurised environment.
• Proactive, motivated approach with strong decision-making skills and the ability to demonstrate sound judgment.

Assistant Vice President leads brand reputation strategy, earned media, and client counsel across communications, creative campaign development, and partnership activations for a PR agency practice. Success in the position means managing financial performance across new and existing client business, mentoring team members, and securing marquee feature stories in top national outlets that deliver measurable results for clients in travel, spa and wellness, real estate, and emerging brand categories.

Areas of Ownership

• Serve as lead counselor for clients in the areas of communications, creative campaign development, and brand reputation, including developing strategies and plans with agency partners and an internal influencer team, and overseeing all activation execution.
• Lead brand collaborations, partnerships, and event strategies with strong talent recommendations and innovative thinking.
• Secure earned media, focusing on marquee feature stories in top national outlets and new media platforms.
• Develop new business leads and compelling proposals, both proactively and reactively.
• Maintain in-depth knowledge of clients' businesses and industries, anticipating and addressing opportunities and issues.
• Manage the financial performance of the practice and hold the team accountable for profitability across new and existing client business.
• Mentor, develop, and retain all team members, ensuring they are supported and encouraged to take on new challenges and grow as PR professionals.

Background & Experience

• Bachelor's degree preferred.
• Minimum of 9 years of experience working in PR and media relations.
• Comprehensive understanding of the media landscape, travel, spa and wellness, and real estate industries, cultural events, emerging brands, and new digital platforms.
• Exceptional relationships with key members of the press.
• Proven track record of delivering high-quality stories in print, online, and broadcast.
• Experience managing a team and larger events and programs.
• Outstanding presentation skills, both online and in person.
• Flexibility to travel for work-related events or meetings.

Embedded within a fund accounting and tax function, the Assistant Vice President develops book-to-tax reconciliations, performs financial statement and security analysis, and oversees quarterly and annual FAS 109 calculations across partnership and corporate entities. Working closely with outside tax preparers, fund administrators, and internal collaborators, this role refines tax reporting workflows and enables accurate federal, state, and foreign income tax filings for hedge fund and private equity structures.

Scope of Work

• Prepare book-to-tax reconciliation for various partnership and corporate entities.
• Compile tax data and assist in the provision of reports and work papers to the tax preparer in support of federal, state, and foreign income and franchise tax returns.
• Analyze financial statements and trial balances and perform security and debt investment analysis to determine proper tax treatment and tax adjustments.
• Assist in performing quarterly and annual FAS 109 calculations in connection with fund reporting requirements.
• Collaborate with and review tax information and work papers compiled by the outside tax preparer and fund administrator for tax reporting purposes.
• Assist with responding to tax authority requests, examinations, and investor requests.
• Assist in modeling after-tax returns for various investor types.

Minimum Qualifications

• Bachelor's degree required.
• 7–10 years of hedge fund or private equity experience.
• Tax experience from a reputable CPA firm or relevant industry.
• Must have an understanding of private equity and/or hedge fund structures.
• Exposure to taxation of debt instruments is a plus.

Reporting to accounting leadership, the Assistant Vice President oversees monthly journal entry preparation, balance sheet reconciliations, and process automation enhancements to ensure financial records comply with GAAP. Partnering with a cohesive finance team to meet critical deadlines, this role strengthens internal controls and drives improvements to accounting and reporting automation that support accurate operating performance capture.

Job Functions

• Prepare and upload monthly journal entries to the general ledger.
• Conduct balance sheet and revenue account analysis and reconciliations.
• Ensure all journal entries properly reflect the operating performance of the business and are recorded in accordance with GAAP.
• Work as part of a cohesive team to meet tight deadlines and respond quickly to changes in the business environment to ensure compliance with internal controls and reporting in conformance with GAAP.
• Recommend and implement enhancements to current processes to improve the automation of the accounting and reporting process.

Education & Experience

• Bachelor's degree in accounting.
• 3+ years of general accounting experience.
• Strong Microsoft Excel skills, including VLOOKUP, pivot tables, and SUMIF.
• Strong problem-solving and analytical skills.
• Excellent communication skills with a highly organized approach.
• Ability and willingness to work in a fast-paced environment and meet critical business deadlines.

Sitting at the intersection of financial planning and business management, the Assistant Vice President delivers end-to-end finance reporting, forward-looking projections, and cost allocation analysis across a transaction cycle or function. Operating across account executives, project managers, and global Cost Ledger and Project Centres of Excellence, this role oversees MTP, Outlook, and RAF cycle modelling while ensuring adherence to global regulatory and statutory requirements and supporting senior stakeholder decision-making.

Strategic Responsibilities

• Support the Senior Finance Business Partner in delivering end-to-end financials across a transaction cycle or function by working closely with business managers and project managers.
• Deliver end-to-end finance reporting that enables management to proactively shape strategy, and provide a full set of forward-looking financial projections, including MTP, Outlook, Transfers, scenario analytics, and Change the Bank portfolio analytics.
• Provide financial support to account executives, including QBRs, MBRs, transaction cycle weeklies, CTB portfolio management, and vendor support.
• Work with the Cost Ledger and Project Centres of Excellence to understand general ledger postings each month and ensure month-end close is completed promptly.
• Provide analysis and support the drafting of insights and commentary on current and outlook financials, including capacity creation, with clear linkages to drivers.
• Provide extensive support in managing monthly and quarterly business reviews, including MI preparation and walkthrough, covering workforce, cost, fully loaded services costs, and managed and consumed metrics.
• Support the creation of the annual plan and be responsible for making updates during regular RAF cycles, including hands-on modelling of forward-looking scenarios and deep dives as required.
• Ensure adherence and alignment to all global and local regulatory and statutory requirements, and ensure best-in-class, efficient, and robust controls are adhered to at all times.
• Prepare reports and data to support monthly updates to account executives and provide support for cost-related executive-level requests and COO business projects, including COE and cost-saving initiatives.
• Support analysis and metrics driving cost allocations from BX to trading entities, including updates to allocations through methodology changes, and provide analysis to quantify the financial impact.
• Support the validation and pre-approval of vendor spend business cases and contract reviews, and ensure finance-related internal audit queries and audit interim reporting are all addressed.
• Support programme interlocks across location, capacity creation, workforce, and budget transfers.

Qualifications & Experience

• CA, MBA, or equivalent qualification.
• Prior experience managing senior stakeholders independently, with the ability to balance multiple critical requests from various stakeholders with outstanding precision.
• Experience operating in a multi-geographic, matrix organisation, with proven ability to balance commercial, client, and regulatory needs across businesses and geographies, is a plus.
• Good understanding of financials, especially cost and drivers, with a BP&A background and experience.
• Strong Excel and PowerPoint skills, with attention to detail and strong organisational skills.
• Strong communication skills across a variety of forums and mediums, with proven ability to distil information into key messages and deliver succinctly according to audience.
• Ability to develop business strategy, communicate clearly and confidently, and act independently to implement, using creativity in approach where needed.
• Awareness of simplification and automation tools, including Tableau, Alteryx, and Python, is a plus.

A key member of the fraud management and investigations function, the Assistant Vice President oversees end-to-end delivery of whistleblowing investigations, including forensic research, complex interviews, and investigative report production across a global organisation. Collaborating with Legal, Corporate Communications, senior management, and regulatory authorities, this role advances fraud risk identification, develops investigation frameworks aligned to regulatory requirements, and leverages data insights to escalate fraud themes and trends.

Ownership Areas

• Oversee and manage whistleblowing channels.
• Direct and execute end-to-end delivery of investigations into whistleblowing matters.
• Provide day-to-day leadership on investigations, managing internal and external resources to ensure project completion within set timeframes.
• Review and analyse allegations and whistleblowing information, and perform preliminary inquiries, forensic research, and analysis to assess relevancy and reliability.
• Prepare or review investigation plans with the relevant investigation team, and evaluate and advise on the investigative approach.
• Lead, supervise, or participate in the conduct of sensitive and complex interviews and other investigative work.
• Render prompt and constructive advice to internal investigation teams and business or support divisions on fraud management and investigation matters.
• Review and edit investigator reports and quality-control the presentation of investigative findings.
• Work with management to ensure internal control weaknesses, root causes, lessons learned, and corrective action plans are appropriately defined.
• Articulate and present key concerns and potential findings or risks identified to key stakeholders.
• Develop, review, and update investigation frameworks to ensure alignment with regulatory requirements, internal policies, professional standards, and best practices.
• Review up-to-date legislation and guidance on whistleblowing to drive continuous improvement of whistleblowing policies, procedures, and case management processes.
• Leverage data and insights from investigations to identify, assess, and escalate potential fraud risks, themes, and trends.
• Act as subject-matter expert to provide investigation training and guidance to the department and other internal investigation teams as required.
• Support Legal, Corporate Communications, and senior management in responding to enquiries from regulatory authorities and law enforcement units.

Experience & Qualifications

• Bachelor's degree, preferably in Accounting, Finance, Business Management, or a related discipline.
• Membership of a professional accountancy body, such as CPA or ACCA, is required; additional certifications, including CIA and CFE, are strongly preferred.
• At least 10 years' experience in a global organisation with increasing management responsibility for internal audit, compliance, and/or risk management, or with a professional services firm.
• At least 5 years' experience in a management role in a large publicly listed company or professional services firm, with a proven track record of leading and coaching a team of investigation professionals in a complex, deadline-driven environment.
• Lodging and hospitality industry experience is highly desirable.
• Significant experience in conducting sensitive and complex investigations and producing associated reports.
• Experience in preparing forensic reports, including review, analysis, and verification of evidence.
• Experience in implementing fraud prevention programmes, including fraud risk assessments and compliance programme development.
• Awareness and knowledge of the regulatory environment and local legislation in relation to fraud, listing requirements, and enforcement trends for international anti-bribery and corruption regulations, including the FCPA and UK Bribery Act.
• Excellent attention to detail with a high level of curiosity and a proven record of effectively challenging evidence to form an impartial conclusion based on multiple sources.
• Strong qualitative and quantitative analytical skills, with the ability to synthesise large volumes of complex data into clear, concise presentations suitable for management decision-making.
• Excellent spoken and written English; fluency in Mandarin is essential.
• Strong relationship-building skills, with a collaborative mindset and the ability to communicate effectively with stakeholders at all levels and present confidently to senior management.

Stable and high-performing Global Markets systems depend on the Assistant Vice President, who resolves incidents, drives technical remediation, and delivers L2/L3 production support within a high-availability, mission-critical banking IT environment. Based within the Markets Operations technology function and serving first- and third-level support and development teams, this role oversees process automation, SLA compliance, and knowledge management to maintain continuous service quality across the Murex platform.

Work Activities

• Deliver first-class production support to Global Markets stakeholders.
• Respond to and resolve incidents, problems, and user queries through proper analysis.
• Drive technical remediation in line with agreed non-functional requirements.
• Evidence continual service improvement of processes and tasks via automation.
• Ensure essential processes and procedures are followed and contribute to defining standards.
• Coach team members and remain receptive to coaching to uplift collective and individual knowledge.
• Communicate complex technical issues to business users in accessible language.
• Contribute to effective knowledge management best practices within the team and the organisation.
• Work closely with first- and third-level support and development teams to ensure incidents, problems, and user queries are resolved within SLA.

Technical Qualifications

• Minimum 6 years' experience working in Banking IT industry support.
• Strong experience supporting mission-critical systems in the financial industry.
• Regional system support experience is preferred.
• Experience in L2/L3 support within a production support group in a high-availability, mission-critical environment.
• 4 or more years' experience with the Murex platform.
• Strong understanding of ITIL methodology.
• Good understanding of key market risk concepts, including traded products, VaR, stress testing, risk and limit management, FRTB SA and IMA, and SIMM.
• Knowledge of the Murex Market and Credit Risk module, MLC, Datamart, and MxML.
• Understanding of batch schedulers, including Control-M, Autosys, and Cron.
• Hands-on experience with monitoring tools, including Splunk and Geneos.
• Strong understanding of troubleshooting application performance issues.
• Strong automation skills, primarily using Unix Shell scripting or Python, with hands-on experience writing and debugging scripts, code, and database queries.
• Solid understanding of resiliency and redundancy designs.
• Previous development or system administration experience in Linux, Unix, or Oracle is preferred.
• Excellent communication and interpersonal skills, with the ability to communicate effectively at all levels and build long-lasting relationships with management.
• Strong problem-solving skills combined with a process-oriented, self-motivated, and delivery-focused approach, with the ability to understand the broader context of issues before applying analytical skills.

As the Assistant Vice President, this role oversees operational risk management tool maintenance, issues and actions tracking, and control enhancement across the Global Treasury business and broader MSS region. The Global Treasury and Markets business units rely on this work to maintain integrity in NFR reporting, ensure timely remediation of action plans, and drive a high-performing, inclusive control culture aligned to organisational values and regulatory standards.

Day-to-Day Responsibilities

• Assist Front Office Business Managers and Control Officers in maintaining and controlling items in the operational risk management tool and AID, including risk assessments, issues and actions, incidents and losses, and internal control monitoring plans.
• Run Issues and Actions Management tracking across the Global Treasury business, with weekly and monthly reporting.
• Ensure action plans have been remediated and items are closed promptly.
• Act as gatekeeper to maintain ongoing integrity and ensure issues and actions are followed up on a timely basis.
• Support the NFR team and Front Office Management in the maintenance and upload of items into relevant systems.
• Ensure delivery of projects by the team as per predefined timelines and proactively manage work priorities.
• Drive change with global asset class CCOs, COOs, and Business Managers.
• Develop and communicate a clear vision aligned to overall organisational values and goals, and foster an inclusive, high-performing culture.
• Ensure seamless communication and teamwork between control resources across onshore locations and counterpart resources.

Required Qualifications

• Degree with a professional qualification, including background knowledge of internal control and risk management in Markets.
• Certified risk qualification, such as GARP, CIA, or ACAMS, is advantageous.
• Minimum 8 years' experience in business management or risk and control roles within a Markets business.
• Experience in a Markets Treasury business with prior experience in first-, second-, or third-line-of-defence roles is advantageous.
• Good understanding of Markets business and products, particularly in the treasury business.
• Proficiency in Excel and PowerPoint for risk reporting.
• Expertise in QlikView and Tableau reporting is advantageous.
• Strong analytical and project management skills to enhance procedures and controls.
• Strong written and verbal communication skills, with the ability to negotiate and work effectively with senior business leaders across business lines and geographies.
• Strong problem-solving and prioritisation skills, with the ability to multitask under pressure and a keen eye for detail.
• Excellent team player with a proactive, self-motivated attitude and the ability to think and act independently.
• Good interpersonal skills, with a proven ability to communicate effectively and confidently at multiple levels.
• Demonstrated compliance with relevant internal and external rules, regulations, and procedures applicable to business activities.

Assistant Vice President manages a portfolio of HNW client relationships through a consultative, issues-led advisory approach, promoting Universal Life and other life insurance solutions across a network of Global Private Banks, Securities Firms, and Family Offices. Success in the position means building a strong referral pipeline with private bankers and wealth planners, achieving sales targets, and delivering a whole-firm proposition that deepens relationships across the ultra-HNW segment.

Key Responsibilities

• Build and foster relationships with referral partners, including Global Private Banks, Securities Firms, Asset Management firms, and Family Offices, to develop new business and acquire clients.
• Build rapport with wealth planners, team leaders, and market heads to drive referral opportunities with HNW clients.
• Work closely with private bankers, wealth planners, and client advisors to understand HNW clients' profiles, needs, and expectations in order to provide appropriate recommendations on life insurance solutions.
• Adopt a client-centric and issues-led consultative approach as core to the advisory responsibility.
• Identify opportunities to introduce other Lines of Business and deliver a whole-firm proposition, enhancing relationships with clients and referral partners.
• Ensure compliance with regulatory requirements and operational procedures.
• Achieve sales targets by building a strong sales pipeline and maintaining consistent activity.

Qualifications & Experience

• Degree with at least 5 to 6 years' experience in Sales or Business Development.
• Direct experience in private banking, securities, asset management, or insurance as a Relationship Manager or insurance specialist in the HNW segment.
• Performance-driven with a results-focused mindset.
• Proven sales track record in promoting Universal Life and other life insurance products.
• Technically proficient in HNW products and services, with the ability to work collaboratively across global teams.
• Strong presentation and communication skills, with client-facing experience and existing ultra-HNW client relationships.
• Strong communicator, both verbally and in writing, able to advance priorities respectfully and thoughtfully while ensuring results.
• Team player with good interpersonal skills, excellent communication and negotiation proficiencies, and the ability to adapt working style to diverse groups.

The Assistant Vice President creates audit assurance across technology applications and business functions, conducting moderately complex audits, drafting reports, and recommending solutions to emerging risks within established internal audit standards and policies. Working alongside senior stakeholders, line management, and audit teams with limited direct supervision, this role executes audit process improvements, including automated routines, that protect the firm's regulatory compliance and reputation.

Activities

• Perform moderately complex audits, including drafting audit reports, presenting issues to the business, and discussing practical solutions.
• Complete assigned audits within budgeted timeframes and costs.
• Monitor, assess, and recommend solutions to emerging risks.
• Contribute to the development of audit process improvements, including the development of automated routines.
• Apply internal audit standards, policies, and regulations to provide timely audit assurance and influence audit scope.
• Develop effective line management relationships to ensure a strong understanding of the business.
• Operate with a limited level of direct supervision, exercising independence of judgement and autonomy.
• Act as SME to senior stakeholders and other team members.
• Assess risk appropriately when business decisions are made, demonstrating consideration for the firm's reputation and driving compliance with applicable laws, rules, and regulations.

Skills & Qualifications

• Bachelor's degree or equivalent experience.
• 5 to 8 years of relevant experience.
• Subject matter expertise in audit technology applications.
• Effective verbal and written communication and negotiation skills.
• Effective project management, influencing, and relationship management skills.
• Demonstrated ability to remain unbiased in a diverse working environment.

Embedded within the St. Joseph Heritage Healthcare system, the Assistant Vice President oversees all non-clinical MSO operations statewide, including Credentialing, Claims, Eligibility, Revenue Recovery, and Utilisation Management across Los Angeles, Orange County, the High Desert, and Northern California. Working closely with the Chief Administration Officer, Chief Operating Officer, and Medical Directors across multiple medical group foundations, this role advances value-based care initiatives, Epic/Tapestry platform deployment, and compliance with DHMC, ERISA, HIPAA, HCFA, CMA, and contracted Health Plan regulatory requirements.

Executive Functions

• Oversee all non-clinical MSO operating responsibilities, including Credentialing, Claims, Eligibility, Revenue Recovery, Reporting, Claims Auditing, Customer Service, Compliance, Administrative Services, Utilisation Management, and Provider Directory.
• Lead system-wide build, deployment, maintenance, implementation, and sustainment of the Epic/Tapestry platform.
• Drive value-based care initiatives and support specialty advisory groups.
• Evolve Utilisation Management deliverables to meet the needs of a diverse marketplace and rearchitect workflows within delegated managed care departments and front-end clinical environments.
• Reconcile Health Plan revenue monthly with member month eligibility data to ensure appropriate premium receipt, and achieve and maintain federal and state regulatory compliance for hospital and provider networks.
• Develop and maintain policies and procedures to meet compliance requirements.
• Coordinate all Health Plan compliance audits, including Credentialing, Claims, and Encounter Data.
• Ensure eligibility data is loaded accurately and distributed to physicians monthly.
• Provide capitation to physicians and manage credentialing and recredentialing on a three-year cycle.
• Maintain the statewide Provider Directory in accordance with regulatory standards.
• Provide revenue recovery across all networks, including third-party liability, duplicate claims, coordination of benefits, and claims on terminated members.
• Develop KPIs benchmarked to industry standards and report progress to internal and external stakeholders.
• Enforce policies and guidelines to ensure management development and accountability.
• Mentor and guide director-level leaders and promote a strong, values-based culture.

Background & Experience

• Master's degree in Healthcare Administration or a related field, or equivalent education and experience.
• 10 or more years of experience in a C-Suite executive role in healthcare.
• 10 or more years of experience leading MSO operations for a healthcare organisation.
• Demonstrated success in budget management and strategic planning.
• Knowledge of ambulatory healthcare delivery and management.
• Proven record of managing complex operations involving multiple departments and regions while improving service and financial outcomes.
• Strong leadership, critical-thinking, and motivational skills, with the ability to build consensus across organisational lines and lead through influence and persuasion.
• Ability to interact effectively and establish credibility with all levels of management, physicians, staff, patients, and community leaders.
• Effective influencing, negotiation, relationship-building, and communication skills.
• Excellent analytical, problem-solving, and organisational skills, with the ability to manage multiple priorities under pressure and adapt quickly to changing conditions.

Reporting to the BSA Officer, the Assistant Vice President oversees the full KYC lifecycle for new client onboarding and ongoing account maintenance, conducting AML compliance calls, EDD, and quality assurance of customer profiles across a banking compliance function. Partnering with department leadership to develop BSA/AML frameworks and enhance policies and procedures, this role ensures timely KYC renewal, regulatory adherence, and effective management of FI account monitoring and MIS reporting.

Core Responsibilities

• Oversee, advise on, and review KYC profiles for new client onboarding and ongoing account maintenance to ensure compliance with policies and regulatory requirements.
• Administer and perform daily client KYC-related tasks, including CPP, CDD, EDD, and screening, ensuring timely completion.
• Monitor client KYC renewal status and outstanding documentation to ensure timely renewal of KYC profiles.
• Conduct AML Compliance calls with clients and prepare detailed AML call reports.
• Conduct on-site client visits as required.
• Perform quality assurance of customer KYC profiles.
• Assist the BSA Officer in implementing KYC programmes and serve as backup.
• Assist the BSA Officer and department head in developing departmental strategies and business plans consistent with overall risk and compliance requirements.
• Work with the BSA Officer to enhance and update existing policies and procedures, and design and implement BSA/AML frameworks and work processes.
• Monitor the opening and closing of FI accounts and prepare MIS reports.

Professional Experience

• Bachelor's degree required.
• Master's degree is a plus.
• CAMS certification is preferred.
• 3 to 5 years of experience in Compliance Risk Control within banking, with 2 to 5 years of management experience.
• 3 to 5 years of AML/BSA experience and negative news screening experience are desired.
• Excellent project management and organisational skills.
• Excellent interpersonal, oral, and written communication skills.
• Bilingual proficiency in English and Mandarin Chinese, both spoken and written, is required.

Sitting at the intersection of quantitative model development and market risk oversight, the Assistant Vice President oversees monthly and intra-month IPV across multiple asset classes with a focus on complex interest rate products and derivatives, developing valuation methodologies, performing reserving, and managing valuation control processes for core rates businesses. Operating across front-office, risk management, regulatory, and audit stakeholders, this role independently models bespoke and structured transactions and delivers deep-dive analysis of Level 3 trades that directly supports robust market risk and valuation governance.

Delivery Expectations

• Oversee monthly and intra-month IPV across multiple asset classes, with a focus on complex interest rate products and derivatives.
• Develop valuation methodologies, assess model appropriateness, and perform reserving.
• Review and conduct deep-dive analysis of Level 3, bespoke, and structured trades.
• Manage valuation control processes for core rates businesses, including valuation, leveling, market data sourcing and back-testing, prudent valuation, model calibration, methodology reviews, reporting, and observability of results.
• Respond to relevant regulatory and audit queries.
• Provide involvement on the market risk side, fully integrated with the valuation function.

Technical Qualifications

• Degree in Mathematics, Sciences, Finance, Business, or a related field.
• Master's degree or higher is an advantage.
• Post-graduate finance qualification, such as CFA or FRM, is an advantage.
• Previous relevant experience in a markets investment banking environment in a valuation, risk management, or front-office capacity.
• Detailed knowledge of financial instrument valuation and risk measurement in a complex product area, preferably covering complex products or derivatives.
• Knowledge of exotics, options, distressed debt, or private equity is a plus.
• Programming knowledge is preferred, including VBA, C++, or Python.