Global Markets Regulatory Compliance Advisory
Found in: Talent US C2 - 2 weeks ago
Job description
Business type
Types of Jobs - Compliance / Financial Security
Job title
Global Markets Regulatory Compliance Advisory - Americas
Contract type
Permanent Contract
Job summary
Summary
Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Vice President is responsible for providing advisory on Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.
Key Responsibilities:
· Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program
· Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations
· Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements (i.e., FINRA, SEC, NFA, and CFTC requirements)
· Communicate new regulatory requirements simply and efficiently to affected business and other functions and stakeholders to ensure compliance
· Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program
· Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk
· Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions
· Evaluate new products and activities to ensure compliance issues are identified and remediated and assist in documenting GMRC evaluation based on appropriate regulatory requirements and Compliance risks identified
Key Internal contacts
· All Global Markets Division, Coverage and Investment Banking, Global Investment Banking business units;
· Legal department;
· Audit department;
· Risk departments; and
· Operations departments.
Key External contacts
The Firm’s regulators, including but not limited to FINRA, SEC, NFA, and CFTC requirements.
Salary Range: $145k-175k
Position location
Geographical area
America, United States Of America
City
NEW YORK
Candidate criteria
Minimal education level
Bachelor Degree / BSc Degree or equivalent
Academic qualification / Speciality
Required:
Bachelors DegreePreferred:
JD Series 7 and Series 24 (or ability to obtain within the first year of employment).
Level of minimal experience
6-10 years
Experience
6- 10 years prior compliance advisory experience, including interaction with US regulators. Regulatory experience is a plus
Required skills
· In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC, NFA, FINRA, and SEC rules and regulations applicable to swap dealer and broker dealer
· Knowledge of Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs.
· Judgement in handling complex and highly confidential matters with unquestionable character, integrity and professionalism.
· Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support.
· Analytical knowledge of complex products, issues and people and the mix of those, and the operational, financial, systemic and risk management processes around such products and offerings.
· A mastery of applicable CFTC, NFA, SEC, and FINRA rules and regulations; exceptional reasoning and analysis skills; attention to detail; strong oral and written skills, resourcefulness, among other abilities.
Technical skills required
Working knowledge of all Capital Markets products, including but not limited to Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities, Fixed Income, Securities Lending, and Repurchase Agreement
-
Global Markets Regulatory Compliance Advisory
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
New York, United States Crédit Agricole CIB Full timeSummaryThe Global Markets Regulatory Compliance (“GMRC”) Advisory – Vice President is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.Key...
-
Global Advisory, Legal
6 days ago
New York, United States Rothschild & Co Full timeAbout Us Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets. Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and...
-
Regulatory Compliance
Found in: Jooble US O C2 - 2 days ago
New York, NY, United States BitGo Full timeBitGo is the leader in digital asset financial services, providing institutional investors with liquidity, custody, and security solutions. Founded in 2013, BitGo pioneered the multi-signature wallet and is the first digital asset company to focus exclusively on serving institutional clients. Active in both centralized and decentralized finance, BitGo offers...
-
Compliance Manager
6 days ago
New York, United States Brown Brothers Harriman Full timeAt BBH we value diverse backgrounds, so if your experience looks a little different from what we've outlined and you think you can bring value to the role, we will still welcome your application! What You Can Expect At BBH If you join BBH you will find a collaborative environment that enables you to step outside your role to add value wherever you can. You...
-
Compliance Associate
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
New York, United States Cardea Group Full timeCompliance Associate (New York, NY): Our client, a private investment advisory firm, is in search of a highly motivated Compliance Associate to join their expanding team. This recently established position is anticipated to collaborate closely with the Compliance Consultant, Finance, and Network teams. Key Points: Impact position as the first hire under the...
-
Compliance Officer
6 days ago
New York, United States AN.ONYMOUS Full timeTrading Firm is looking is looking for Associate and VP/Manager level Compliance professionals in New York.This advisory role will essentially make sure the firm is conducting business in accordance with various rules and regulations (FINRA, SEC, CFTC, NFA) as well as internal policies and industry best practices.The ideal candidate will have:2-7 years of...
-
Compliance Officer
7 days ago
New York, United States AN.ONYMOUS Full timeTrading Firm is looking is looking for Associate and VP/Manager level Compliance professionals in New York. This advisory role will essentially make sure the firm is conducting business in accordance with various rules and regulations (FINRA, SEC, CFTC, NFA) as well as internal policies and industry best practices. The ideal candidate will have: 2-7 years of...
-
Clearing and Prime Brokerage Advisory Compliance Officer
Found in: beBee jobs US - 1 week ago
New York, New York, United States UBS Full timeYour role Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can: act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank (IB)...
-
Senior Investment Management Attorney
Found in: Appcast US C2 - 1 week ago
New York, United States Larson Maddox Full timeA Global Asset Management company is actively seeking an experienced Attorney to join their Legal team. You will play a lead role in various matters such as fund formation and maintenance, regulatory compliance, negotiating with investors, and more. This Senior Counsel will have a high level of visibility as it involves collaboration with senior business...
-
Senior Investment Management Attorney
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
New York, United States Larson Maddox Full timeA Global Asset Management company is actively seeking an experienced Attorney to join their Legal team. You will play a lead role in various matters such as fund formation and maintenance, regulatory compliance, negotiating with investors, and more. This Senior Counsel will have a high level of visibility as it involves collaboration with senior business...
-
New York, United States Crédit Agricole CIB Full timeSummaryCredit Agricole Corporate and Investment Bank (CACIB) seeks a senior capital markets transactional lawyer to act as Head of Global Markets Legal (GML) for the Americas. Based in New York, the position will report to the General Counsel for CACIB Americas with a dotted line to the Global Head for GML (sitting in Paris). The Head of GML Americas will be...
-
Managing Director and Counsel, Head of Global Markets
Found in: Appcast Linkedin GBL C2 - 7 days ago
New York, United States Crédit Agricole CIB Full timeSummaryCredit Agricole Corporate and Investment Bank (CACIB) seeks a senior capital markets transactional lawyer to act as Head of Global Markets Legal (GML) for the Americas. Based in New York, the position will report to the General Counsel for CACIB Americas with a dotted line to the Global Head for GML (sitting in Paris). The Head of GML Americas will be...
-
Global Financial Crimes Manager
Found in: beBee S US - 2 weeks ago
New York, United States Bank of America Full timeJob Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...
-
Global Financial Crimes Manager
2 weeks ago
New York, United States Disability Solutions Full timeJob Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...
-
Global CEO
5 days ago
New York, United States Cornerstone Global Partners (CGP Group) Full timeTitle: Global CEO - Consumer Healthcare CompanyLocation: New York, United StatesCompany Overview:Our customer is a leading European consumer healthcare company dedicated to improving the health and well-being of individuals across Europe, North America, South America, Asia Pacific and the Middle East. With a strong portfolio of products and a commitment to...
-
Clearing and Prime Brokerage Advisory Compliance Officer
Found in: beBee S US - 2 weeks ago
New York City, United States UBS Full timeYour role Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can:• act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank...
-
Associate Director, Regulatory Compliance
7 days ago
New York, United States Tandym Group Full timeA financial services organization in Manhattan is actively seeking an experienced and diligent professional to join their staff as their new Associate Director of Regulatory Compliance. In this role, the Associate Director of Regulatory Compliance will be responsible for general compliance duties related to execution of the Firm's compliance program,...
-
Compliance, Global Banking Markets, Public Compliance-Mortgages and Structured Products, Vice President, New York
Found in: Careerbuilder One Red US C2 - 2 weeks ago
New York, NY, United States Goldman Sachs Full timeGlobal Compliance: Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of complianceCompliance accomplishes these through the firm's enterprise-wide compliance risk management programAs an independent control function and part of the firm's second line of...
-
Global CEO
Found in: Jooble US O C2 - 2 days ago
New York State, United States Cornerstone Global Partners (CGP Group) Full timeTitle: Global CEO - Consumer Healthcare Company Location: New York, United States Company Overview: Our customer is a leading European consumer healthcare company dedicated to improving the health and well-being of individuals across Europe, North America, South America, Asia Pacific and the Middle East. With a strong portfolio of products and a...
-
Global Markets Risk Senior Manager
Found in: beBee jobs US - 2 weeks ago
New York, New York, United States Bank of America Full timeJob Description:The Global Markets Risk Executive for the Bank of America Securities (BofAS) legal entity will primarily interface with the Product Trading/Marketing Heads and the product heads of other risk and support groups (i.e. Compliance, Finance, Operations, etc), as well as local regulators (e.g. SEC, CFTC, CME).Key responsibility to oversee and...