MD – Chief Compliance Officer Capital Markets

Full Time

Investment Banking Client

Office Status: Hybrid

Responsibilities:

  • Ongoing development, implementation and refinement of a comprehensive compliance program.
  • Work with Compliance teams globally and as well as other legal entities in the Americas to help lead a coordinated effort throughout the organization.
  • Coordinate compliance regulatory examinations and participate in the coordination of responses to these examinations.
  • Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements.
  • Communicate new regulatory requirements simply and efficiently to affected business and infrastructure to ensure compliance.
  • Supervise compliance department staff in carrying out their functions.
  • Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a testing and monitoring program.
  • Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk.
  • Provide thought leadership and subject matter expertise for compliance issues.
  • In discharging responsibilities, do so in a way that is most consistent with CM’s operational and business effectiveness, including the provision of advice, the discharge of duties under the New Product Review process and participation in internal risk management functions.
  • Provide regular training to staff and specialized training, as needed
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