Director, Investment Banking Compliance Advisory Officer

Full Time

Investment Banking Client

Office Status: Hybrid (3 days per week in office)

Responsibilities:

  • Provide regulatory and compliance advice / guidance to Investment Banking, including Equity and Debt Capital Markets, Structured Finance, Client Coverage teams
  • Identify and prioritize regulatory and compliance risks associated with Investment Banking, and conduct periodic compliance risk assessments
  • Develop and implement policies and procedures
  • Develop and conduct training
  • Liaise with business and Legal to manage conflicts of interest
  • Coordinate with internal audit and testing teams, as well as regulators / regulatory responses
  • Assist business lines with respect to supervision structure and process
  • Coordinate compliance breaches by business lines
  • Performing periodic spot checks for compliance with internal policies, procedures, guidance
  • Partner closely with other compliance teams, including Control Room, Central Compliance, Surveillance, Bank Regulatory
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