Six Compliance Positions with a Top Investment Bank recruitment

 Control Room Compliance Officer

Our client seeks a Control Room Compliance Officer who would be responsible for enforcing procedures designed to prevent and detect the misuse of material non-public information and managing conflicts for the Firm. 

Qualifications
• Ability to understand and apply regulation applicable to the Control Room function, including, but not limited, to SEC 10b(5)-1
• Knowledge of use of proprietary and vendor-based applications

Regional Anti-Bribery Corruption Officer

Our client seeks a Regional Anti-Bribery and Corruption Officer who will be responsible for co-coordinating the assessment of bribery risk and the assurance programs and collating the MI that is presented to the regional Risk and Control Committee, forwarding it to the GBM Designated ABC Officer (‘DABCO’) for global consolidation.

Qualifications:

• FINRA Qualifications (Series 7, 24, 27)
• Related work experience at a regulator or in law enforcement
• Expert understanding of Foreign Corrupt Practices Act, UK Bribery Act 
• Understanding of anti-money laundering concepts, regulations and practices
• Understanding of investment banking products and business practices
Understanding of securities and/or banking regulations

Registrations Compliance Officer, Associate

Our client seeks a Registrations Compliance Officer who will be on the Central Compliance team which is responsible for Registrations, Control Room, E-Communications, Surveillance, Gifts and Entertainment, Policies and Procedures, and Training. This role will be responsible day to day functions in the Registrations Unit.

Qualifications: 
• Prior experience in registration and licensing matters
• Influencing and conflict resolution skills. 
• Prior Compliance experience with focus on Registration and Licensing matters

Regulatory Relations – Upstream Risk, VP

Our client seeks a Vice President, Upstream Risk/Regulatory Relations who will be responsible for helping the Regulatory Relations team proactively manage the Upstream Risk processes, including identification and tracking of proposed changes to securities and banking rules, regulations, guidance, etc., assess applicability on MIBA businesses and functions, monitor implementation of necessary changes to MIBA policies, procedures and processes, and management reporting of significant MIBA Upstream Risk matters. The position will also assist the Regulatory Relations team with aspects of MIBA regulatory examinations, meetings, communications, inquiries, requests and visits.

Qualifications:
• 5-7 years securities industry experience
• Banking and/or broker dealer regulatory professional, possessing a strategic as well as granular understanding of regulatory risk, including emerging risk issues.
• Proven ability to manage a risk program.
• Ability to work proactively with regulatory and supervisory agencies to address issues in an efficient and timely manner.

Surveillance Compliance Officer, VP

Our client seeks a Swap Dealer Political Contributions Director to help develop and maintain a process for logging and tracking political contributions, with particular focus on requirements under Dodd-Frank. In addition this role with be responsible for tracking, approving and providing advice on the Firm’s Gifts and Entertainment policies and other areas which may present conflicts of interest such as general Control Room activity.

Qualifications:
• FINRA Qualifications (Series 7, 24)
• Experience in providing compliance advisory support in financial services environments.
• Experience maintaining information barriers
• Experience with performing the review of Desk Strategy and Research
• Experience interfacing with all levels of management

For more information or to apply for any of these positions please submit your resume to Jack Kelly – Jkelly@compliancesearch.com