Chief Compliance and Regulatory Officer Division
Detalles del cliente
Descripción de la oferta
The role is a trading floor based coverage Compliance function, requiring close interaction with Front office staff within Global Markets and Investment Banking and Capital Markets. The applicants will have the ability and knowledge to provide Compliance advice to front Office staff in a fast paced environment, be able to consider transactions and assess Compliance risk. Applicants will work within a Compliance team in the location as well as a broader team within the Branches of the EU entity and in addition with significant contact with London as a hub for Compliance resource.
* Good knowledge and understanding of the Markets Business and the Sales and Trading activity within an Investment Bank. Understanding the institutional client base and the application of recent regulations to these activities.
* Ability to apply broad knowledge of business processes and procedures, governmental and regulatory agency guidelines, laws and requirements, and compliance methodologies to the analysis of current processes and procedures.
* Ability to effectively communicate moderately complex, difficult or sensitive information and collaborate with others to build consensus.
* Ability to prioritize activities and projects to ensure the achievement of project landmarks and goals in a timely manner.
* Shows true concern for compliance and control standards, protects the bank's reputation and earns our clients' trust. Is diligent, disciplined and organized in her/his work: meets deadlines, strives for high quality, has complete documentation.
* Communicates effectively; moves easily from discussion to agreement. Builds sustainable relationships with colleagues.
* Assumes accountability for their actions and results. Contributes to a positive and inclusive team environment, inspires others.
* Has developed a complete base of knowledge in their areas of expertise. Effectively applies their knowledge to deliver solutions that fit the purpose and are feasible.
Perfil del candidato
* An opportunity to work in a market focused business, advising sales staff and product specialists in the Compliance aspects on selling to institutional clients.
* Participates in the development and implementation of processes and procedures to ensure the business line's compliance with all relevant regulations, policies and standards.
* Performs ongoing Risk Assessment of the firm's activity in relation to existing regulation and regulatory focus. Reviews potential issues involving compliance or regulatory risk and provides effective mitigation solutions.
* Assists with the development and implementation of compliance reference information, documentation and training materials for business colleagues on Firm Policy and procedures and on the regulatory and legal environment. Amends local compliance procedures.
* Provides advice and counsel with respect to business transactions undertaken by the Global Markets team in the region.
* Represents Bank to outside regulatory and governmental organizations. In collaboration with Director, acts as contact for regulators with respect to routine queries, investigations and inspections. Prepares regulatory correspondence.
* Educated to Degree level.
* Good knowledge of local regulations.
* Good communication and problem solving abilities.
* Good knowledge on Global Markets and Investment Banking and Capital Markets business and specific regulation.
* A background in working in Financial Services firms as an advisor on legal or regulatory issues.
* Fluent in English and Spanish.
Oferta de empleo