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Advisory Compliance Officer Global Securities Finance– Executive Director

  • Midtown Manhattan
  • Full Time

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Investment Banking located in Midtown Manhattan looking to bring on a new “Advisory Compliance Officer Global Securities Finance– Executive Director ” to join their team. This role is currently working in a hybrid capacity (3 days in office).

Responsibilities:

• Driving implementation of global and local projects and initiatives with respect to new business initiatives and/or new or changing regulations
• Develop and implement new Compliance processes, including controls and Compliance policies and procedures, to support the business
• Contribute to New Product Committees, liaising with business management and support functions teams to deliver clear guidelines to ensure new business activities operate in compliance with applicable regulatory requirements
• Work with the Front Office to facilitate risk assessments for the relevant businesses covered and develop tailored action plans for high and critical residual risks
• Develop and deliver in-person Compliance trainings as well as content for online training
• Contribute to qualitative and quantitative monthly and quarterly Compliance reporting, as well as presentations for Compliance Committee