This job ad has been posted over 40 days ago...
Banking Unit Business Unit Compliance Officer
at The Compliance Search Group in NY, NJ or CT
• Ensuring compliance with all regulatory requirements for the various securities businesses in which the bank/investment bank is engaged.
• Partnering with the business to develop and implement policies, which will both support the business strategies, products and processes, and which are consistent with regulatory requirements.
• Advising the Head of Business Unit Compliance, General Counsel as well as other members of Management on key compliance issues.
• Analyzing corporate governance and supervisory matters.
• Primary representative with the banking regulatory agencies and substantial contact with those agencies with respect to all major policy initiatives.
• Responding to key regulatory inquiries and exams such as Federal Reserve Bank Examinations, Representative Office Exams, and periodic requests.
• Advise on organizational changes necessitated by developments in laws and regulations or market shifts such as anti-tying rules and regulations; e-mail policy and procedures; FRB Rule 23A/B; and Firm’s vacation policy for “sensitive employees”;
• Special expertise in risk analysis, investigations and analysis including analysis of trader and salesperson misconduct; FRB, SEC and FINRA investigations.
• Debt and Equity Capital Markets
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
• Partnering with the business to develop and implement policies, which will both support the business strategies, products and processes, and which are consistent with regulatory requirements.
• Advising the Head of Business Unit Compliance, General Counsel as well as other members of Management on key compliance issues.
• Analyzing corporate governance and supervisory matters.
• Primary representative with the banking regulatory agencies and substantial contact with those agencies with respect to all major policy initiatives.
• Responding to key regulatory inquiries and exams such as Federal Reserve Bank Examinations, Representative Office Exams, and periodic requests.
• Advise on organizational changes necessitated by developments in laws and regulations or market shifts such as anti-tying rules and regulations; e-mail policy and procedures; FRB Rule 23A/B; and Firm’s vacation policy for “sensitive employees”;
• Special expertise in risk analysis, investigations and analysis including analysis of trader and salesperson misconduct; FRB, SEC and FINRA investigations.
• Debt and Equity Capital Markets
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 21-06-2010
Viewed: 16 times
Viewed: 16 times