Compliance-GBM Public- Equities-New York-Analyst
About The Position
Global Compliance: Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. Position Overview: The role of a Global Markets Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Markets Division by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. Divisional Compliance provides coverage support to the Division’s functional (including sales and trading) and product areas (equities, options, fixed income, etc.), while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.
Requirements
- Bachelor’s Degree
- 0-3 years Compliance, Legal, Regulatory or Financial Services industry experience
- General knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.)
- Excellent communications skills (oral and written) that demonstrate control-side empowerment
- Experience leading, managing and participating in regulatory projects and business initiatives requiring compliance input.
- Proven ability to handle and prioritize multiple projects and simultaneously work under pressure while remaining organized
Nice To Haves
- Understanding of equities markets and products is preferred
Responsibilities
- Provide day-to-day line Compliance coverage for Global Markets Division Equities Sales, Trading and Strats personnel
- Advise on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations
- Assess new business initiatives and coordinate with interested stakeholders to support the firm’s overall governance framework
- Represent Compliance in broad based cross-divisional projects supporting regulatory requirements
- Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
- Create and implement Compliance training programs for Equities professionals
- Assist with regulatory examinations, audits and inquiries
- Perform look-backs, provide oversight and manage compliance escalations to assess compliance risks and breaches
- Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
Benefits
- Discretionary bonus
- Training and development opportunities
- Firmwide networks
- Wellness offerings
- Personal finance offerings
- Mindfulness programs
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
