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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 7 yrs required
Compliance Director - Control Group Advisory This candidate will have management responsibilities within the Control Group, depending on the qualifications and demonstrated skills of the candidate. Will support and advise a number of other businesses as necessary, including investment banking, equity and debt capital markets, equity and fixed income trading desks, credit and risk groups, derivative solutions group and leveraged lending areas. Liaise with surveillance, audit, regulatory and other control functions as necessary. Report directly to the NAM Head of the Control Group. Identify, evaluate and resolve potential Information Barrier risks associated with business groups. Advise businesses on accessing information, and on permitted communications with other businesses within ICG. Develop processes and procedures to help businesses comply with Information Barrier policies while achieving business objectives. Identify and provide remediation plans for both real and potential risks on an ongoing basis associated with the company's Information Barrier policies and procedures. Assess the nature of communications received by businesses for material, nonpublic content and assist internal clients in their adherence to the appropriate Information Barrier policies. Advise team members and clients on materiality of transactions and/or information. Draft policies and procedures on the Information Barrier and related issues. Respond to regulatory inquiries and internal audits. Develop and provide training to business units and individuals. Advise on business seating arrangements and floor access. Liaise with senior management, when necessary, to address Information Barrier issues and to review and assess policies and procedures.
Qualification and Experience
The candidate should preferably have a B.A./B.S. degree in a related field with 10+ years of experience providing control group, capital markets, trading or banking compliance coverage in-house, or working in audit, risk or regulatory areas OR be a law school graduate with 7+ years of experience working in-house at a financial institution, for a regulatory agency, or at a law firm specializing in the financial services industry. Should preferably also have significant financial products and/or transactional knowledge. Special consideration will be given to candidate with prior Control Group experience. Should also be familiar with the issuance of policies, be able to train business groups, and should possess strong writing, presentation and analytical skills.
Ref. #: 15076991
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