Summary:
The Investment and Corporate Banking Advisory (“ICBA”) Compliance Officer – Americas is responsible for the regulatory advisory function of the investment banking and financing activities. The candidate will be responsible for ensuring adherence to compliance standards and managing risks associated with investment banking and financing activities. The candidate should have a clear understanding of the various businesses within the scope of ICBA.
Primary Responsibilities
Management and Reporting
The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Officer for the Americas.
Key Internal contacts
Key External contacts
The Firm’s regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC.
Qualifications/Education Required:
Experience Required:
Approved Person Registration
Competencies Required:
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.
Skills & Knowledge Requirements
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