VP Equity Structured Products Compliance Advisory

  • Base salary, bonus and excellent benefits
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • The Forum Group
  • 20 Aug 18 2018-08-20

Our client, a well regarded, global investment bank is looking for an experienced Compliance Officer to join the Compliance Advisory team to provide compliance advice and services primarily with respect to Equity derivatives, and other complex structured products. The Compliance Officer will also have advisory compliance coverage responsibility for other business areas as needs are identified.

The role of the Compliance Officer will include, but will not be limited to, the following, as part of the Advisory Team:

• Compliance point of contact to address US implications of structured equity products including Equity Derivatives, as relevant.

• Perform research on and assess impact of new rules, providing subject matter expertise to Front Office and Support Functions.
• Conduct training and comprehensive interpretations of new products and regulations.

• Contribute to relevant New Product Committees, liaising with Business Lines and Business Management teams to deliver actionable guidelines aimed at ensuring that new business activities start operating and/or expand in compliance with applicable regulatory requirements.

• Review investor relations related materials, including pitch books, due diligence questionnaires, pricing grids and other marketing materials to ensure adherence with applicable rules.
• Review business units and contribute to the completion of the annual compliance risk assessment

• Draft policies and procedures in relation to relevant regulatory rules, regulations and best practices
• Lead various regulatory and other key projects as required.
• Coordinate with Head Office with respect to key project and initiatives and their impact on the business

• Work with and assist Business Lines and Compliance Teams on other special projects as needed
Required Skills/Qualifications/Experience
• 5+ years’ experience, MBA and/or JD preferred.
• Bachelor’s degree.
• Understanding of basic broker dealer and bank regulations.
• Strong knowledge of Banking, SEC and CFTC regulation; strong knowledge of Volcker beneficial.
• Compliance experience in a banking and broker dealer entity; legal background is beneficial but not required.
• Strong knowledge of regulatory/compliance issues related to credit and financing lines of business
• Demonstrated ability to analyze new regulatory frameworks and understand the compliance issues involved.
• High level of customer service with internal and external clients with experience working with various departments, business lines, and jurisdictions.
• Self-motivated with the ability to work independently while understanding when to involve other team members as needed and to work effectively in a team environment.
• Demonstrated ability to be solutions driven with strong analytical skill.
• Relies on experience and judgment to plan and accomplish goals.
• Solid verbal and interpersonal skills a must. Skillful written communication is necessary; the ability to convey thoughts clearly and succinctly and to communicate pertinent complex information in a clear and organized manner.
• The ability to manage multiple priorities, working under pressure to meet deadlines, and the ability to respond creatively and quickly in a fast-pace and changing environment.
• Sound judgement with the ability to establish a high level of credibility in the organization and act as a trusted advisor to senior management.