Our client, an international investment bank, is looking for an experienced Compliance Officer to join the Compliance Advisory team to provide compliance advice and services primarily with respect to structured notes, equity derivatives, and other sophisticated equity products. The Compliance Officer will also have advisory compliance coverage responsibility for other business areas as needs are identified.
The role of the Compliance Officer will include, but will not be limited to, the following, as part of the Advisory Team:
- Compliance point of contact to address US implications of structured equity products including equity derivatives, as relevant.
- Perform research on and assess impact of applicable new rules, providing subject matter expertise to Front Office and Support Functions.
- Conduct training and comprehensive interpretations of new products and regulations.
- Contribute to relevant New Product Committees, liaising with Business Lines and Business Management teams to deliver actionable guidelines aimed at ensuring that new business activities start operating and/or expand in compliance with applicable regulatory requirements.
- Review investor relations related materials, including pitch books, due diligence questionnaires, pricing grids and other marketing materials to ensure adherence with applicable rules.
- 10+ years' experience, MBA and/or JD preferred.
- Bachelor's degree.
- Understanding of basic broker dealer and bank regulations.
- Strong knowledge of Banking, SEC and CFTC regulation; strong knowledge of Volcker beneficial
- Compliance experience in a banking and broker dealer entity; legal background is beneficial but not required.
- Strong knowledge of regulatory/compliance issues related to credit and financing lines of business
- Demonstrated ability to analyze new regulatory frameworks and understand the compliance issues involved.
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