Executive Director Global Capital Markets Americas – Syndicate Compliance

Full Time

Investment Banking Client

Office Status: Hybrid (4 days per week in office)

Responsibilities:

  • Provide real time advice to business on various regulatory and policy matters
  • Actively monitor regulatory developments and trends, and coordinate with the business unit to comply with new or amended regulations
  • Design and deliver applicable training for business unit personnel, infrastructure personnel and supervisors, as appropriate
  • Draft and maintain Compliance policies and procedures and notices, and assist with the maintenance of written supervisory Procedures as prescribed in FINRA Rule 3110
  • Coordinate and assist with execution of testing and monitoring program
  • Assist with regulatory inquiries, examinations and internal audit
  • Participate in annual Compliance Risk Assessment and annual Compliance Planning
  • Participate in New Product Approval process
  • Global coordination with regional Legal and Compliance peers
  • Interact with Business Unit Risk and Non-Financial Risk Management to ensure business processes remain compliant with Firm and Divisional policies and industry regulations
  • Interact with affiliates on compliance matters
  • Coordinate with GCM, Investment Banking, and Research Legal and Compliance professionals
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