Compliance Officer - Policies and Communications
A leading European investment bank are now seeking a compliance officer to join their team in Manhattan on a permanent basis. Candidates should have a JD, as rule interpretation and policy making will be a strong element to this position.
- Draft, revise and advise on policies and procedures for the Americas institutional and retail businesses, including broker-dealer, banking, and asset and wealth management businesses
- Work with Compliance Advisory, the front office and other infrastructure groups to address changes in policies and procedures that impact the business and other infrastructure groups
- Consult with applicable business units and Compliance and Legal coverage on required changes to Firm policies and procedures given regulatory developments
- Assist in revising or creating appropriate policies and procedures to address these developments
- Interpret and communicate Firm policies and procedures and regulatory changes to branches and business units as needed through drafting and circulating Compliance Alerts and other communications
- Actively participate in Global Compliance Policies Committee (“CPC”), which is responsible for reviewing and approving any new policies and procedures and material changes to existing policies with a global or cross divisional impact
- Coordinate and respond to policy requests
- Advise on content of Compliance training materials
- Assist with global Compliance policy initiatives
- Work on projects, as may be requested
- Bachelor's Degree required. JD or MBA is a plus.
- Solid compliance or legal experience in a global investment bank, regulator, or law firm including experience with global securities regulations, banking regulations and best practice standards for compliance policies, including regulatory standards and expectations
- Excellent written communication and presentation skills
- Must be detail oriented with a strong ability for follow up
- Team Player
- Ability to work independently with a minimum of supervision
This is a fantastic opportunity for a detailed oriented compliance professional to join a team of like minded individuals with a legal background, to develop their career on a long term basis with one of the world's most recognized names.
If you would like to apply for this role or find out more, please apply online or contact Adrian Morrissey at Robert Walters via email or call +1 212 704 9900 quoting the Reference 160180.