Senior Advisory Compliance Officer, VP/Director

Full Time



Primary Responsibilities

  • Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of private side investment banking as well as public side sales and trading groups.
  • Provides advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory requirements.
  • Advises and provides regulatory guidance on establishing a reasonably designed supervisory system including to create and update written supervisory procedures.
  • Conducts monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
  • Interfaces with regulators and Internal Audit during compliance related examinations / audits related to coverage area.
  • Researches and drafts responses to regulatory inquiries.
  • Advises business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point.
  • Coordinate and cowork 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.
  • Provides training to covered business units.
  • Leads / Contributes to various reporting requirements and other ad hoc investigations.
  • Works closely with other supports units to help create and maintain best practice across the Firm.

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