Compliance Monitoring Officer
Compliance Monitoring Manager - Capital Markets
Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Manager level to mature specialist Compliance Monitoring programs across the firms Capital Markets business. The firm are one of the world's largest banking groups whose global presence continues to go from strength to strength. The Capital business whilst among the largest in the US, is still growing, and this is one of two new hires in this specialist Compliance Monitoring & Testing group.
You will report directly into the Americas Head of Wholesale Banking Compliance Testing.
The Compliance Monitoring Manager will be responsible for…
- Devising and delivering and overseeing the firms annual Compliance Monitoring program
- Working with senior business leaders to enhance the Compliance Monitoring Program
- Quality Assurance of the Compliance Monitoring program
- Compliance Oversight of 1LOD Testing
- Producing and developing Compliance Monitoring reports
- Updating Policies and Procedures
The Compliance Monitoring Manager should have the following qualifications…
- 5+ years of relevant Compliance Monitoring experience gained in a Broker Dealer or large Bank
- Excellent working knowledge of the regulations governing the Broker Dealer / Capital Markets Space
- Proficiency in Excel and SharePoint
- Strong analytical skills
- Exceptional interpersonal skills
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