Home > Financial > Search Results
Senior Compliance Officer - Investment Banking
Compensation: Competitive
Location: New York, NY
Job Number: F-081-066
Job Description:
International investment banking firms seeks Senior Compliance Officer.
A major international investment banking firm seeks a Senior Compliance Officer who will be responsible for the following:
- Ensure compliance with regulatory requirements and compliance standards.
- Perform compliance planning for each business line.
- Manage compliance risks identified in each business line by providing advice, training, monitoring, and testing.
- Develop and update inventory of rules, regulations, guidelines and practices for New York operations.
- Conduct compliance training and update line managers and employees on compliance related matters.
- Represent the firm in communication and liaising with regulatory bodies.
- Review and monitor internal practices and procedures to ensure compliance with regulatory and group requirements.
- Monitor business activities and implement specific measurements as necessary.
- Ensure that Anti-Money Laundering (AML) processes and systems meet regulatory requirements.
- Period reports to management and carry out any ad hoc projects.
Job Requirements:
- A Attorney (J.D.) is preferred for this position.
- Minimum of 10 years experience in compliance or legal in financial or securities services.
- Proven record of successfully advising on regulatory compliance at a broker-dealer and interacting with US regulatory bodies.
- Familiarity with relevant rules and regulations, codes of conduct, etc.
- Fluency in Mandarin language preferred.
- Excellent interpersonal skills.
- Strong analytical and evaluative skills.
- Strong computer skills in Windows, MS Office and Macro.
Visit our blog for the latest industry trends and news on jobs http://blog.aefeldman.com
A.E. Feldman Associates, Inc. is an equal opportunity employment agency and it does not honor requests for any applicants based on race, gender, national origin, age and/or disability.
Please fill out the brief form below and attach an MS Word (or .rtf) document version of your resume or CV. It will be sent directly to the recruiter responsible for the job above. He or she will review your qualifications and get back to you shortly.