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Years of Experience
Date Last Verified
Private Side Compliance Officer The candidate on behalf of a global financial institution, ensure compliance with regulatory requirements, interactions, and trends. Provide primary advisory compliance coverage, real time support, and advice to bankâ€™ U.S.-based Coverage, Debt Capital Markets, Leveraged Finance, Securitized Products, CMBS, Risk Solutions Group and Fixed Income Syndicate. Ensure compliance with external regulations by regulators in US and UK, including those with extraterritorial application and issued under European Union Law, by Prudential Regulation Authority and Financial Conduct Authority. Ensure proper global completion of Compliance-related advisement, regulatory submissions, and delivery of effective solutions for evolving business needs. Review data and identify and issue breaches for failure to comply with applicable compliance policies, standards and procedures. Strategize and deliver enhancements and testing to bankâ€™ policies, procedures, and Compliance controls. Develop and implement training initiatives and prepare compliance monitoring materials. Responsible for coordinating with stakeholders and preparing MI reports. Participate in governance committees, reviewing for potential regulatory, conduct or reputational risks. Provide guidance on information flow management and handle queries related to conflicts of interest, financial crime and employee compliance matters. Review client facing materials and update information regarding laws and guidelines. Conduct risk assessments such as compliance risk assessment or RCSA for Barclaysâ€™ financial products. Provide in-depth knowledge and experience of the relevant SECâ€™s, FINRAâ€™s, the Dodd-Frank Act and other securities rules and regulations, including those applicable globally. Advise on and implement regulatory change. Participate in transaction and product governance forums. Ensure compliance with regulatory requirements, interactions, and trends.
Qualification and Experience
The candidate should have Masterâ€™s degree or foreign equivalent in Political Science, Law, Finance, or related field, and 3 years of experience as a Compliance Officer, Regulatory Affairs Specialist, Law Clerk or paralegal evaluating regulations and compliance on behalf of financial services clients. Must have at least 2 years of experience with the following: Conducting risk assessments such as compliance risk assessment or RCSA for financial products. Ensuring compliance with regulatory requirements, interactions, and trends. Providing primary advisory compliance coverage in a global financial services organization. Providing guidance on information flow management and handling queries related to conflicts of interest, financial crime and employee compliance matters. Ensuring compliance with external regulations including from the FCA and PRA and those applicable globally. Participating in transaction and product governance forums. Advising on and implementing regulatory change.
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