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VP - Emerging Markets Compliance
Opportunity within High Priority Team at the firm
Competitive Compensation and High Career Growth Potential
About Our Client
My client is a leading global bank; a catalyst for driving change and innovation in the industry, and a shining standard of excellence year over year. They have built a stellar reputation through a demonstrated track record of championing integrity, sustainable performance and innovation with their loyal clients.
- 5-7 years of compliance or legal experience, preferably with a FICC background
- 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
- Assist with due diligence reviews, investigations, and audits as needed
- Collaborate on projects with Global and Regional Compliance team members
- Be able to represent the Compliance department on business lead working groups or infrastructure related operating committees
- Work closely with other infrastructure areas, such as Legal, Middle Office, AML, CRM and Technology.
The Successful Applicant
- Familiarity and knowledge of SEC and FINRA regulations
- Experience with structured finance and legal agreements preferred.
- Candidate must possess strong planning, risk assessment, and analytic 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
- Ability to multitask efficiently and effectively and meet tight deadlines
What's on Offer
- Full health benefits