Fixed Income Compliance Advisory – VP

Full Time

Investment Banking Client

Office Status: Hybrid

Responsibilities:

  • Responsible for providing regulatory and compliance advice to business stakeholders, developing and providing training and delivering on key initiatives impacting the Firm. Additional responsibilities will include
  • Proactively engages with Compliance, Legal, Business Controls and other control function colleagues to enhance the overall Compliance program.
  • Escalates regulatory concerns and other significant matters to senior management.
  • Provides advice on regulatory and compliance requirements to business unit management and staff so that they may conduct business in conformance with regulatory requirements.
  • Advises and provides regulatory guidance on establishing a reasonably designed supervisory system.
  • Participates in monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements
  • Interfaces with Internal Audit during reviews related to coverage area.
  • Researches and assists with the development of responses to regulatory examinations and inquiries.
  • Advises business units on the maintenance of their procedures with a focus on the current compliance framework as a reference point.
  • Coordinates with affiliates to address cross border issues, reporting requests and special projects.
  • Seeks operational efficiencies and automation of processes to reduce risk of manual processes.
  • Collaborates with other supports units to help create and maintain best practice across the Firm.
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