This job ad has been posted over 40 days ago...
Structured Capital Markets Compliance Officer
at The Compliance Search Group in New York
Structured Capital Markets Compliance Officer
New York
International investment bank seeks a Structured Capital Markets (SCM) Compliance Officer.
Main Duties
Provide support to Structured Capital Markets (SCM) to ensure compliance with applicable rules and regulations, specifically regarding broker-dealer and banking issues
Mitigate regulatory and reputational risk by providing ongoing advice regarding complicated multi-entity transactions
Organize and track multi-jurisdictional transaction activity to allow team to proactively manage risks
Interface with other Compliance teams to provide proper coverage depending on product area
Assist with creating supervisory infrastructure to help SCM managers better understand how to supervise their businesses, which may include surveillance development
Develop and implement written policies and procedures
Conduct training on relevant regulatory matters
General Requirements
5-10 years Compliance Department/SRO/Legal experience, specifically with a background in Equities, Derivatives, or Tax
Strong interpersonal and communication skills that will enable him/her to interact effectively with business and compliance personnel at all levels of the firm
Self-starter with strong organization skills
4-year Undergraduate Degree; advanced degree (MBA or JD) preferred
Series 7 and 24 a plus
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
New York
International investment bank seeks a Structured Capital Markets (SCM) Compliance Officer.
Main Duties
Provide support to Structured Capital Markets (SCM) to ensure compliance with applicable rules and regulations, specifically regarding broker-dealer and banking issues
Mitigate regulatory and reputational risk by providing ongoing advice regarding complicated multi-entity transactions
Organize and track multi-jurisdictional transaction activity to allow team to proactively manage risks
Interface with other Compliance teams to provide proper coverage depending on product area
Assist with creating supervisory infrastructure to help SCM managers better understand how to supervise their businesses, which may include surveillance development
Develop and implement written policies and procedures
Conduct training on relevant regulatory matters
General Requirements
5-10 years Compliance Department/SRO/Legal experience, specifically with a background in Equities, Derivatives, or Tax
Strong interpersonal and communication skills that will enable him/her to interact effectively with business and compliance personnel at all levels of the firm
Self-starter with strong organization skills
4-year Undergraduate Degree; advanced degree (MBA or JD) preferred
Series 7 and 24 a plus
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 23 times
Viewed: 23 times