Summary:
The Investment and Corporate Banking Advisory (“ICBA”)– Americas is responsible for the Advisory function within Investment & Corporate Banking Regulatory Compliance (“ICBRC”), which comprises ICBA and the CMG (“Conflicts Management Group”). The candidate should have a clear understanding of the activities performed by the following business lines: Coverage, Global Investment Banking (“GIB”), and Global Financing Division (“GFD”). The focus of the role will be on advisory primarily to the various private side businesses in close coordination with the CMG, reporting, monitoring LoD1 Compliance controls, and the execution of some LoD2 Compliance controls.
Primary Responsibilities
Management and Reporting
The ICBA Compliance Officer reports directly to the Head of ICBRC in the Americas and the Head of ICBRC in Head Office
Key Internal contacts
Key External contacts
The Firm’s regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC.
Qualifications/Education Required:
Experience Required:
Approved Person Registration
Competencies Required:
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.
Skills & Knowledge Requirements
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