Summary:
 

The Investment and Corporate Banking Advisory (“ICBA”)– Americas is responsible for the Advisory function within Investment & Corporate Banking Regulatory Compliance (“ICBRC”), which comprises ICBA and the CMG (“Conflicts Management Group”). The candidate should have a clear understanding of the activities performed by the following business lines:  Coverage, Global Investment Banking (“GIB”), and Global Financing Division (“GFD”). The focus of the role will be on advisory primarily to the various private side businesses in close coordination with the CMG, reporting, monitoring LoD1 Compliance  controls, and the execution of some LoD2 Compliance controls.

Primary Responsibilities

·         Provide general advisory services in connection with activities performed by Coverage, GIB and GFD

·         Provide advice and regulatory guidance to the private side of the bank and to the public side regarding control room-related issues, in coordination with the CMG if/when necessary

·         Identify and prioritize regulatory and compliance risks associated with Coverage, GIB & GFD activities.

·         Maintain and update the applicable policies and procedures to ensure they are in agreement with Global policies & procedures as well as US laws and regulations concerning the topic.

·         Partner with other Compliance teams, including CMG, Transversal, Financial Security and Capital Markets Compliance on matters related to Coverage, GIB & GFD activities.

·         Assist in analyzing complex situations and provide guidance for these situations.

·         Assist in responding to regulatory inquiries, audits, examinations and investigations.

·         Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance oversight program is implemented, as applicable.

Management and Reporting

The ICBA Compliance Officer reports directly to the Head of ICBRC in the Americas and the Head of ICBRC in Head Office. 

Key Internal contacts

o    Coverage, GIB and GFD business lines;

o    Legal department;

o    Audit department;

o    Risk departments; and

o    Operations departments.

Key External contacts

The Firm’s regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC. 

Salary Range: $140k - $190k

#LI-DNI

Bachelor Degree

Graduate Degree or Law Degree preferred.

6-10 years of experience in the banking industry in working in the areas of coverage, investment banking and financing activities advisory and/or control room.

Experience with international, cross-border topics related to the financial industry.

Experience in dealing with U.S. financial industry regulators.

FINRA Series SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is required.

A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.

-          Strong analytical, problem-solving and organizational skills.

-          Capable of handling multiple, simultaneous and various ad-hoc requests.

-          Ability to prioritize and work in a dynamic, deadline-focused environment.

-          Analytical capability: able to break down complex problems into simple manageable units, develops solutions for each unit and integrate them back into the whole.

-          Strong intellect with consistent application of analytical skills and capacity to translate technical and complex issues for broader audiences in a straightforward manner, articulating the key issues facing the group; ability to get up to speed quickly with complex issues.

-          Results-oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results.

-          Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization. The candidate should be able to relay complex technical concepts to non-technical audiences, capacity to steer discussion back to the objectives when needed and ensure respect of the deadlines and commitments.

-          Strong interpersonal effectiveness: is self-aware of their own behavior and work style as well as tolerant of different needs and viewpoints. Demonstrates interest in others opinions and shows consideration, concern and respect for other people feelings.

-          Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems with strong influencing and negotiating skills, but recognizing the need to work with colleagues, and to seek guidance if necessary; a hands on approach that extends to taking practical initiatives, as necessary, to move issues forward.

-          Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues.

-          Patience and tenacity to obtain results that can be clearly evidenced

Working knowledge of Investment and Corporate Banking products.