Financial Services Client
Office Status: Hybrid (2 days per week in office)
- Drive implementation of global and local projects and initiatives, whether with respect to new business, new Compliance programs, or new or changing regulations
- Provide day to day advice on rules and regulations, compliance policies and procedures including but not limited to the handling of confidential as well as material nonpublic information (MNPI), deal-related conflicts issues and market practice for one or more of Firm’s Global Markets businesses. Such businesses include Global Structured Credit Solutions, which covers Structured Credit (CLOs/ABS) Sales and Trading, Credit Sales and Trading, Debt Capital Markets and Credit Syndicate.
- Develop and implement new Compliance processes, including controls, pursuant to Compliance policies and procedures, and support and update existing processes.
- Contribute to New Product Committees, liaising with business management and support function teams to deliver clear guidelines to ensure new business activities operate in compliance with applicable regulatory requirements
- Contribute to various risk assessments for the relevant businesses covered (General Compliance Risk Assessment, Market Abuse Risk Assessment, etc.).
- Draft and/or revise/update Compliance policies and procedures, as needed, to reflect changes in regulation and/or the business.
- Develop and deliver Compliance Department trainings and presentations.
- Review, supervise and contribute to qualitative and quantitative monthly and quarterly Compliance reporting, as well as other Compliance Department presentations.
- The successful candidate must have a firm understanding of the laws and regulations applicable to the Firm and the nature of the Compliance team’s activity and must maintain an ongoing awareness of regulatory expectations and best industry practices with respect to the management of compliance risk.
- The Compliance Officer will interact with a wide group of stakeholders locally and globally to support adherence to regulatory, compliance and risk management priorities and will be expected to lead initiatives as well as build relationships and collaborate with key areas such as Head Office Compliance, Head Office Swap Dealer Compliance Office, Operational Risk, IT, Regulatory Affairs, and Internal Audit.