You are here
VP - Emerging Markets Compliance
Exciting opportunity to join a growing team
Liaison with various businesses with exposure to senior management
About Our Client
My client is a Global Financial Services Company with excellent brand recognition and a superb reputation as a fantastic place to work. They are one of the biggest global banks and offer an excellent but demanding work environment.
The qualified VP - Emerging Markets Compliance Officer will be responsible for supporting the compliance program for the Emerging Markets business which provides sales, trading and structuring support to the business unit whose primary focus is the Latin American region.
- Provide real-time advisory services to the Emerging Markets business as it impacts the business unit from a Sales, Trading, and Structuring prospective.
- Identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices.
- Create, implement and maintain policies and procedures.
- Work with other support partners within Compliance to develop trade surveillance reports and assist with any internal inquiries or investigations that may result.
- Conduct ongoing compliance risk assessments and coordinate with business leads to identify and resolve control gaps.
- Development of Compliance-related communications strategies and support for the dissemination of communications across the business
- Conduct new hire and annual employee training on the Code of Conduct and Compliance related policies and procedures
- Work closely with other infrastructure areas, such as Legal, Middle Office, AML, CRM and Technology.
The Successful Applicant
The successful VP - Emerging Markets Compliance Officer will have:
- 5-7 years of compliance or legal experience, preferably with a FICC background
- Familiarity and knowledge of SEC and FINRA regulations
- Experience with structured finance and legal agreements preferred.
- Candidate must possess strong planning, risk assessment, and analytical skills, as well as, excellent decision-making, interpersonal, presentation and communication skills.
- Must be able to work independently, with limited supervision and effectively within a team
What's on Offer
Competitive base salary + bonus + benefits