Investment bank located in Midtown Manhattan looking to bring on board a Director U.S. Markets Investment Banking Compliance Advisory to join their team.
This role is currently in a hybrid schedule (2 to 3 days in office / week).
Responsibilities :
Directs day-to-day activities of the Investment Banking Compliance team in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits.
Communicates the Bank’s risk culture and risk appetite statement throughout the Investment Banking Compliance team.
- Designs, develops, delivers, and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance
- Ensure comprehensive and robust policies and procedures (including written supervisory procedures) governing investment banking, securities underwriting, private placements.
- Provides strategic vision to the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific.
- Provides day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities
- Oversees the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions.
- Analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function / business / product, including cross-border impact.
- Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including the coordination of global implementations of new regulatory requirements.
- Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams / individuals for appropriate remediation or corrective actions as required.
- Assist with development and delivery of training program for front office personnel and relevant control personnel.
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