AVP- Compliance Risk Reviews recruitment
Responsibilities:
• Plan for and manage compliance reviews according to the established review schedule and ad hoc regulatory / business commitments;
• Planning for review scope, budget and testing approach
• Performing on-site compliance reviews to:
• Validate compliance against established policies and procedures and applicable regulations;
• Develop recommendations for corrective action based on review findings;
• Work with business compliance officers and management to agree on appropriate action plans
• Present and report review results to Business and Compliance Management
• Follow-up on action plans to verify that corrective action has been effectively implemented.
• Satisfy standards for delivering high quality value added compliance risk reviews
• Provide guidance on compliance and supervisory findings related to review areas
• Anticipate and provide solutions to complex issues
• Maintain a broad knowledge of the Firm’s business and regulatory framework in which it operates
• Maintain relationships with business compliance officers and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm
Qualifications:
• 4+ years of compliance, regulatory, audit or operational risk management experience in a global investment bank with strong exposure to investment banking product and experience with Federal banking rules and regulations
• Knowledge of FINRA, SEC and other regulatory rules and regulations, NYSE Rules 342 and 343, NASD Rules 3010(c) and 3012 expertise highly preferred.
• Ability to analyze and interpret regulatory rules and their impact on the business
• Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities
• Enforcement experience with FINRA, SEC or other regulatory agency a plus
• Ability to represent and enforce compliance while considering the needs of the business