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.