Senior Compliance Officer – US Markets Compliance Advisory – Senior Manager

Full Time

Broker Dealer Client

Office Status: Hybrid (1-2 days per week in office)

Responsibilities:

  • The Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large projects impacting all the Firms business but with coverage focus related to the Corporate Investment Banking Business
  • Design, develop, deliver and maintain a best in class program, policies, and practices globally for Investment Banking Compliance
  • Provide day to day strategic advice and guidance to front office personnel in the Firms Investment Banking Business
  • Collaborate with Compliance personnel in other jurisdictions to coordinate efforts across the business.
  • Partner with the Control Room to ensure appropriate procedures related to Grey listing, monitoring and surveillance
  • Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current or new business activities.
  • Provide regulatory/compliance training
  • Assist the business on implementing and documenting various supervisory/control mechanisms
  • Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
  • Interact with federal and state regulators
  • Perform testing and monitoring of compliance with firm policies for covered business areas
  • Conduct compliance risk assessments to ensure effective business control framework
  • Provide ongoing reporting to senior management
  • Develop and deliver proactive strategies and tactics that support compliance/business objectives
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