A Senior Compliance Advisory Officer is a high-level professional responsible for providing guidance and advice on compliance matters within an organization - Lawrenceburg, KY, United States - Terra

Terra
Terra
Verified Company
Lawrenceburg, KY, United States

3 days ago

James Miller

Posted by:

James Miller

beBee Recruiter
Freelance
Description

A prestigious and well-established private bank in Lawrenceburg, KY is seeking an experienced Compliance Advisory Manager/Officer to join their growing compliance team and provide guidance to their investment banking division.


Some of your responsibilities will include:

  • Offering regulatory advice and guidance to the investment banking business, specifically the Investment Banking Continental Europe team, as well as the Equities business including Research and Sales in the London branch
  • Conducting Compliance risk assessments and planning to ensure the bank is in compliance with relevant rules and regulations
  • Performing surveillance and monitoring, including ad hoc investigations as needed, as part of the firm's compliance monitoring program (CMP) and assisting in its development
  • Building and maintaining a proactive relationship with the front office
  • Assisting in the implementation and updating of policies and procedures
  • Providing compliance support to the Investment Banking Continental Europe team in the bank's European offices
  • Paris, Stockholm, Brussels, and London. Travel to these locations will be required.
  • Collaborating closely with Compliance team members in the Hamburg, Frankfurt, and London offices, as well as the bank's US subsidiary.
You will also be involved in other compliance tasks such as monitoring trades and addressing financial crime.


Your qualifications:

  • Significant professional experience in an Investment Banking Compliance role or a similar position
  • Familiarity with European securities regulation, including MiFID II and MAR
  • Strong understanding of European regulations, procedures, and processes
  • Broad, analytical, and strategic thinking skills
  • Interest in process improvement
More jobs from Terra
See all jobs of Terra