NY - Compliance Officer in Broker Dealer

3 weeks ago

New York, United States Intesa Sanpaolo Full time

**NY - Compliance Officer in Broker Dealer**

**Location:** New York, US *Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of 5360 branches, it significantly supports the development of Companies and gives an important sustain to the country's growth.* *The Group has a selected retail banking presence in Central and Eastern Europe, the Middle East and North Africa, with approximately 1,000 branches and 7.2 million customers in 12 countries.* *Intesa Sanpaolo is also present in 25 countries in support of its corporate customers cross-border business.* *It is looking for new qualify profiles who want to face demanding and challenging career path with the following requirements:***Scope and Purpose**

Provide compliance support and oversight to the firm's primary markets lines of business, and advise front office and back office on transactions and operational processes Conduct reviews of transactions Develop policies and procedures to enhance the compliance protocol of the primary markets desk Provide compliance support to the primary markets front office and back office units Support the coordination and facilitation of regulatory examinations Stay abreast of new rules and regulatory initiatives

**Required Experience**

5-7 years' experience in a broker-dealer compliance capacity, with specific knowledge of ECM/DCM execution processes within regulatory obligations and constraints Thorough understanding of Primary Markets and Investment banking activities Knowledge of SEC Rule 15a-6, Reg-S, Reg-M and all other pertinent Rules

**Competencies Required**

Bachelor's Degree from an accredited institution, Masters' Degree (MBA) a plus Strong analytical skills; ability to organize and bring order to data and information, drawing conclusions and making appropriate recommendations. Thorough knowledge of DCM (a must) & ECM dynamics and market structure Extensive knowledge of the U.S. and international securities capital markets is required (European markets is a plus) Proven record in supporting business line in executing DCM/ECM transactions within a global banking/financial institution Licenses: Series 7 and 24 preferred Strong verbal and written communication skills. Proven ability to work in a fast-paced environment, Ability to collaborate with multiple areas of the business, including the Front Office, Risk, Operations and senior management

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