Compliance Officer - Global Markets & Investment Banking
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The role
Provide day-to-day compliance oversight across front-office desks in Investment Banking and Global Markets.
Develop and maintain policies, procedures, controls, and monitoring programs to adapt to changing regulations.
Review SEC, FINRA, and CFTC rules to assess applicability to the business and contribute NPNA opinions.
Draft responses for regulatory inquiries, coordinate governance forums, and prepare regulatory disclosures.
Support global and local projects, track internal compliance obligations, and report metrics to governance bodies.
Create engaging online training and assist with cross-border workflow enhancements.
Develop and maintain policies, procedures, controls, and monitoring programs to adapt to changing regulations.
Review SEC, FINRA, and CFTC rules to assess applicability to the business and contribute NPNA opinions.
Draft responses for regulatory inquiries, coordinate governance forums, and prepare regulatory disclosures.
Support global and local projects, track internal compliance obligations, and report metrics to governance bodies.
Create engaging online training and assist with cross-border workflow enhancements.
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