Capital Markets Compliance Officer
About The Position
Partners with leaders in their assigned Line of Business, Risk/Compliance/Audit (RCA) Consultants, and other RCA Managers to, depending on the function, oversee the successful creation, implementation, and maintenance of an effective risk management framework. Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Facilitate the identification of gaps and drive solutions that minimize losses resulting from inadequate internal processes, systems, or human errors. Ensures the active identification, response and/or escalation of risks as appropriate. May influence policies and procedures to maximize profit potential and minimize regulatory exposure. Accountable for an effective partnership between the Line of Business and the Lines of Defense.
Requirements
- Bachelor's degree, or equivalent work experience
- Typically more than 10 years of applicable experience
- Advanced knowledge and experience with regulations applicable to Leveraged Finance and Investment Grade Debt Capital Markets and Syndicate, Loan Capital Markets, Brokered CDs and Structured Products
- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Advanced understanding of the business line’s operations, products/services, systems, and associated risks/controls
- Thorough knowledge of Risk/Compliance/Audit competencies
- Strong leadership and management skills of processes, projects and people
- Effective written and verbal communication skills
- Strong analytical, problem-solving and negotiation skills
- Proficient computer skills, especially Microsoft Office applications
- Applicable professional certifications
Responsibilities
- Oversee the successful creation, implementation, and maintenance of an effective risk management framework.
- Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
- Facilitate the identification of gaps and drive solutions that minimize losses resulting from inadequate internal processes, systems, or human errors.
- Ensure the active identification, response and/or escalation of risks as appropriate.
- Influence policies and procedures to maximize profit potential and minimize regulatory exposure.
- Accountable for an effective partnership between the Line of Business and the Lines of Defense.
Benefits
- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
- Incentive and recognition programs
- Equity stock purchase
- Pension
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What This Job Offers
Job Type
Full-time
Career Level
Senior
