Job Title: AVP - Compliance Generalist
Our client, a prestigious, global Institutional Financial Services group, is looking to hire an experienced Compliance professional at an AVP level to provide specialist Compliance advice and guidance to senior leaders and key members of the firm's Investment Banking, Capital Markets and Broker Dealer business. The group have one of North America's most reputable Securities businesses also boasting a highly successful Investment Management arm both businesses having a diverse global client base.
The incumbent will be based in Manhattan and report directly into the Deputy CCO.
The AVP, Compliance Generalist will be responsible for…
- Providing specialist product and business Compliance Advice to key stakeholders and senior leaders in the Broker Dealer and Investment Banking business focusing among others, Controls as well as Policy & Procedures.
- Updating relevant Policies & Procedures by tracking key Regulatory Developments
- Performing Testing and Surveillance activities for both Broker dealer and Investment Banking business lines
- Performing Control Room activities for Investment Banking business lines
The AVP, Compliance Generalist should have the following qualifications…
- Minimum of 3+ years of relevant Compliance experience gained either one of Investment Banking, Capital Markets or Broker Dealer space
- Excellent working knowledge of the regulations governing one (or more) of the above spaces.
- Strong problem solving experience
- Exceptional interpersonal, communication and influencing skills
