VP, Research Compliance

Full Time

International Banking Client

Office Status: Hybrid

Your Key Responsibilities:

  • Identify regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors to implement any required changes to current policy and practice; participate in industry groups to formulate best practices related to Sales practices and Research matters; advocate regulatory change
  • Develop and enhance Compliance policies and procedures and coordinate with global colleagues in developing global standards
  • Assist with the establishment of an appropriate control framework tailored to the activities of the specific business lines
  • Conduct periodic risk assessments of the Business lines and their control frameworks
  • Assist in the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required
  • Participate in internal reviews, perform ad-hoc testing, assist in responding to regulatory inquiries, and coordinate internal and external audits and inspections

Your Skills and Experience:

  • Bachelor’s Degree; JD or MBA a plus
  • Moderate compliance or regulatory experience; knowledge of SEC and FINRA rules and regulations
  • Effective communication and ability to collaborate and partner with senior business management, supervision, and Compliance colleagues in other bank jurisdictions to address regulatory concerns
  • Ability to identify and escalate issues that pose reputational risk to bank or create a conflict of interest
  • Ability to project confidence and professionalism in all dealings with business personnel
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