Compliance, GBM Public Compliance- Equities: Flow and Strategic Derivatives, Vice President, NY

Position Overview:

The role of a Global Banking & Markets- Public Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets-Public business by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. This Business-Aligned Compliance role provides both functional coverage to its aligned businesses (sales and trading) as well as general compliance for the product areas covered within those businesses, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.

Responsibilities:

• Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Flow and Strategic Derivative businesses, including coverage of Equities Sales, Trading, and Strats teams 
• Advise on how to conduct the firm’s business, particularly focused on listed and OTC derivatives,  securities-based swaps, and financing products in a manner that complies with the vast array of rules, regulations and regulatory expectations
• Assess new business initiatives and coordinate with interested stakeholders to support the firm’s overall governance framework
• Represent Compliance in broad-based cross-divisional projects supporting regulatory requirements
• Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
• Create and implement Compliance training programs for Equities professionals
• Assist with regulatory examinations, audits and inquiries
• Perform oversight of surveillances and programmatic reviews to assess Compliance risks and breaches
• Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
• Evaluate compliance risks and assist in developing compliance action plans through the firm’s Compliance Risk Assessment

Qualifications:

• Bachelor’s Degree
• 6+ years Compliance, Legal, Regulatory or Financial Services industry experience
• Knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.)
• Regulatory experience within the OTC derivatives and securities-based swaps businesses a plus
• Understanding of cash equities, options, derivatives, and structured products market conventions preferred
• Excellent communications skills (oral and written) that demonstrate control-side empowerment
• Experience leading, managing and participating in regulatory projects and business initiatives requiring compliance input.
• Proven ability to handle and prioritize multiple tasks simultaneously and work under pressure