VP, Equities Advisory

Full Time

International Banking Client

Office: Hybrid (2-3 days in office per week)

Responsibilities:

  • Provide regulatory and compliance advice to business stakeholders
  • Develop and provide training
  • Deliver on key initiatives impacting the Firm
  • Collaborate with Compliance, Legal, Business Controls and other control function colleagues to enhance the overall Compliance program.
  • Escalate compliance-related matters that require input and or action from other internal stakeholders, including Business Line, Risk Management or other compliance colleagues.
  • Provide guidance and support surrounding business and product specific regulatory requirements
  • Advise and provide regulatory guidance on establishing a reasonably designed supervisory system.
  • Participate in periodic meetings and open discussions with business partners to provide support and address compliance and risk concerns
  • Assist in the development, review, and updating of compliance policies and procedures to help ensure regulatory obligations
  • Provide subject matter support to Compliance teams and processes, such as Compliance Risk Assessment and Monitoring and Testing routines
  • Report through established business line and/or compliance reporting channels and forums, any patterns or trends of problematic activity and/or systemic control weaknesses or control absence
  • Stay current on internal changes to and/or new products, services, and business models
  • Assist business partners address new and/or modified regulatory requirements and ensure applicable policies, procedures and controls are updated to reflect changes
Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on
Print