International Banking Client
Office Status: Hybrid (2-3 days in office)
Salary: $140,000 – $190,000
- Maintain the firm’s Watch List (“WL”) and Restricted Lists (“RL”) in conjunction with Global Control Room counterparts, in order to prevent and detect insider trading.
- Conduct personal securities trading monitoring (pre-clearance and review against WL and RL) and escalation of any issues.
- Responsible for reviewing potential client conflicts and liaising with the various businesses, as necessary, to resolve any real or perceived conflicts of interest.
- Act as a key advisor to the business as well as other colleagues on issues regarding Information Barriers, wall crossing procedures, sensitive information, the Need-to-Know Principle and personal trading.
- Maintain policies and procedures and other documents such as Compliance Bulletins, Control Room Manual, etc. which provide written guidance on the appropriate implementation of regulatory requirements, laws, rules and standards.
- Conduct training, as needed, on related compliance/regulatory topics.
- Coordinating and executing the compliance and regulatory initiatives and other special projects, including regulatory risk assessments and periodic compliance reporting.
- Track new industry initiatives and developments, and determine applicability to the business and implement responsive compliance measures
- Promoting knowledge sharing and promulgation of best practices across Compliance and the business.
- Informing Compliance management of significant compliance matters that require their attention or action.