Compliance Advisory Emerging Markets & Futures

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 22 Sep 16

Our client, a global investment bank seeks to add an AVP or VP level candidate to it's expanding and first in class Compliance program.

The qualified candidate will be responsible for supporting the compliance program for the FX and  Emerging Markets business located in the Firm's New York offices.

The Emerging Markets compliance officer will provide sales, trading and structuring support to the business unit whose primary focus is the Latin American region.

• Provide real-time advisory services to the Emerging Markets business
• Identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business  to implement any required changes to current policy or practices.
• Create, implement and maintain policies and procedures.
• Work with other support partners within Compliance to develop trade surveillance reports and assist with any internal inquiries or investigations that may result.  
• Conduct ongoing compliance risk assessments and coordinate with business leads to identify and resolve control gaps.
• Development of Compliance-related communications strategies and support for the dissemination of communications across the business
• Conduct new hire and annual employee training on the Code of Conduct and Compliance related policies and procedures
• Assist with due diligence reviews, investigations, and audits as needed
• Collaborate on projects with Global and Regional Compliance team members
• Be able to represent the Compliance department on business lead working groups or infrastructure related operating committees
• Work closely with other infrastructure areas, such as Legal, Middle Office, AML, CRM and Technology.
• 5-7 years of compliance or regulatory experience, preferably with a federal regulator, self-regulatory organization, or in a trading environment, risk management function
• Familiarity with  FX and knowledge of SEC and FINRA regulations
• Minimum of a Bachelors Degree required
• Experience interacting with traders, sales staff and support personnel
• Excellent communication skills (written and oral)
• Must be confident and professional in all dealings with business personnel and senior management.
• Must be able to work independently, with limited supervision and effectively within a team