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Fixed Income Compliance Officer VP
at The Compliance Search Group in New York, NY
Leading international investment bank seeks a Compliance Officer for their Fixed Income – Debt Capital Markets division.
Responsibilities:
The Compliance Officer will provide real-time support to Debt Capital Markets and related businesses. Such support includes addressing issues related to Chinese wall and information barriers, restrictions in connection with registered or unregistered securities offerings, interaction with research analysts, internal controls, supervision and other issues that are typical for a large global investment bank.
The individual in the role will identify regulatory trends and developments that impact Capital Markets business areas, and advise staff as to how this may impact their current activities. He or she will also draft, update, and implement relevant policies and procedures; provide regulatory and compliance training; and implement and document supervisory or control mechanisms.
The Compliance Officer will participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections during which they will be expected to communicate and interact effectively with state and federal regulators.
Requirements:
The successful candidate will possess a bachelors degree or equivalent, two to five years of securities compliance experience, preferably in a global investment bank or in a securities department of a law firm, and will have strong knowledge of applicable securities laws, rules and regulations. Similar experience with a regulator or consulting firm will be taken into consideration.
The individual in the Compliance Officer role must have strong communication skills and the ability to make, support and defend difficult and complex regulatory or compliance decisions in a fast-paced, high-pressure environment. Furthermore, anyone seeking the position of Compliance Officer must be able to project confidence and professionalism in dealings with senior business personnel.
Please send resumes to Jack Kelly at jkelly@ComplianceSearch.com
Responsibilities:
The Compliance Officer will provide real-time support to Debt Capital Markets and related businesses. Such support includes addressing issues related to Chinese wall and information barriers, restrictions in connection with registered or unregistered securities offerings, interaction with research analysts, internal controls, supervision and other issues that are typical for a large global investment bank.
The individual in the role will identify regulatory trends and developments that impact Capital Markets business areas, and advise staff as to how this may impact their current activities. He or she will also draft, update, and implement relevant policies and procedures; provide regulatory and compliance training; and implement and document supervisory or control mechanisms.
The Compliance Officer will participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections during which they will be expected to communicate and interact effectively with state and federal regulators.
Requirements:
The successful candidate will possess a bachelors degree or equivalent, two to five years of securities compliance experience, preferably in a global investment bank or in a securities department of a law firm, and will have strong knowledge of applicable securities laws, rules and regulations. Similar experience with a regulator or consulting firm will be taken into consideration.
The individual in the Compliance Officer role must have strong communication skills and the ability to make, support and defend difficult and complex regulatory or compliance decisions in a fast-paced, high-pressure environment. Furthermore, anyone seeking the position of Compliance Officer must be able to project confidence and professionalism in dealings with senior business personnel.
Please send resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 13-04-2010
Viewed: 21 times
Viewed: 21 times