- Bachelors Degree
- JD
- Series 7 and Series 24 (or ability to obtain within the first year of employment).
- 6- 10 years prior compliance advisory experience, including interaction with US regulators.
- Regulatory experience is a plus
-
Compliance Advisory Temp
1 week ago
Michael Page New York, United StatesThis is a 6-month contract that is currently on a hybrid work schedule. This consultant will be responsible for reviewing/validating high risk KYC files, providing guidance on regulatory issues as needed, reviewing daily transaction reports and submitting professional feedback on ...
-
Compliance Advisory Temp
2 weeks ago
Michael Page Manhattan, United States TEMPORARYAbout Our Client Our client is located in Midtown NYC and is one of the largest French International Bank's. This client has been around for over 50 years and has locations globally. · Job Description Report directly into the Compliance Director and work with other teams that in ...
-
Bank Regulatory Compliance Advisory
1 week ago
Sumitomo Mitsui Banking Corporation New York, United StatesSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...
-
Director - Equities Compliance Advisory
2 days ago
JCW New York, United StatesA leading multinational investment bank is looking to hire a Director - Equities Compliance Advisory. Ideal candidates will have extensive experience with equity sales/trading compliance advisory. · Day-to-day you will: · Advise on equity trading regulatory requirements and firm ...
-
Bloomberg New York, United States Full timeThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. It's what keeps us inventing and reinventing, all the time. Our culture is wide open, just li ...
-
Hamlyn Williams New York, United StatesOur client is an investment bank servicing clients in fixed income and equity capital markets globally. They are currently looking for someone to come in to service their fixed income surveillance program and help with all regulatory compliance issues. · Responsibilities: · Supp ...
-
AML/OFAC Compliance Advisory Consultant
1 week ago
Michael Page New York, United StatesThe AML/OFAC Compliance Advisory Consultant will be responsible to review and issue regulatory guidance to Bank staff on proposed activities and transactions. · Client Details · Our client is a leading French multinational banking and financial services company with a global pr ...
-
Bloomberg L.P. New York, United StatesLegal & Compliance. New York, NY - Posted Apr 25, Requisition No The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy Compliance, Compliance Officer, Lead, Surveil ...
-
Crédit Agricole CIB New York, United States CDIJob description · Business type · Types of Jobs - Compliance / Financial Security · Job title · Global Markets Regulatory Compliance Advisory - Americas · Contract type · Permanent Contract · Job summary · Summary · Global Markets Regulatory Compliance ("GMRC") Advisory – Am ...
-
AML/OFAC Compliance Advisory Consultant
2 weeks ago
Michael Page Manhattan, United States TEMPORARYAbout Our Client Our client is a leading French multinational banking and financial services company with a global presence in New York, NY. They are looking to hire an AML/OFAC Compliance Advisory Consultant for a 6 month project. · Job Description The AML/OFAC Compliance Advis ...
-
UBS New York, United StatesUnited States - New York · Compliance · Group Functions · Job Reference # · 289997BR · City · New York · Job Type · Full Time · Your role · Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challen ...
-
UBS New York City, United States OTHERYour role · Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can: · • act as a compliance subject-matter expert for ...
-
Pershing X, Inc. Jersey City, United States7 open jobs. · Use your resume to get matched with the right job. · Senior Vice President- Markets Compliance Advisory · Boston, MA, United States and 1 more · Risk & Regulatory Compliance · Pershing X Senior Vice President, Solution Architect · Jersey City, NJ, United States an ...
-
Tax Associate
1 week ago
Also Hire New York, United States**Responsibilities**: · - Tax Compliance: Assist in the preparation of federal, state, and local tax returns for various entities, ensuring accuracy and compliance with applicable laws and regulations. · - Tax Planning: Collaborate with senior tax professionals to devise tax plan ...
-
Oppenheimer & Co. Inc. New York, United States**Wealth Management and Advisory Business Associate** · **Who We Are**: · Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in th ...
-
M&a Advisory Associate
1 day ago
CastleOak Securities, L.P. New York, United StatesCastleOak Securities, L.P. ("CastleOak") is a premier boutique investment bank focused on providing capital markets services to a broad array of corporate, governmental and institutional clients. Headquartered in New York City, the firm specializes in primary and secondary sales ...
-
Analyst - Structured Finance & Advisory
2 days ago
Santander US New York, United StatesAnalyst - Structured Finance & Advisory · New York, United States of America · Product Specialist / Analyst - Structured Finance & Advisory: As an Analyst, you will primarily support and be responsible for key aspects related to the underwriting and execution of transactions in t ...
-
Associate - Structured Finance & Advisory
2 days ago
Santander US New York, United StatesAssociate - Structured Finance & Advisory · New York, United States of America · Product Specialist / Associate - Structured Finance & Advisory: As an Associate, you will primarily be responsible for key aspects related to the underwriting and execution of transactions in the US ...
-
Tax Associate
2 days ago
Davis Ward & Hochman, LLP New York, United StatesWe are a growing boutique CPA firm located in Manhattan with a diverse industry practice that specializes in tax advisory and compliance work for high net worth individuals and their businesses. We are seeking an individual with 1-4 years tax experience in public accounting havin ...
-
Corporate Banking Compliance Officer, Avp
2 days ago
MUFG Bank, Ltd. New York, United States**Do you want your voice heard and your actions to count?** · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organizati ...
Global Markets Regulatory Compliance Advisory - New York, United States - Crédit Agricole CIB Limited
Description
Vacancy detailsGeneral information
Entity
About Crdit Agricole Corporate and Investment Bank (Crdit Agricole CIB)
Crdit Agricole CIB is the corporate and investment banking arm of Crdit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July
8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North Africa, support the Bank's clients, meeting their financial needs throughout the world.
Crdit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital market activities, investment banking, structured finance, commercial banking and international trade.
The Bank is a pioneer in the area of climate finance, and is currently a market leader in this segment with a complete offer for all its clients.
For more information, please visit
Twitter:
LinkedIn:
By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.
Reference
Update date
22/02/2024
Job description
Business type
Types of Jobs - Compliance / Financial Security
Job title
Global Markets Regulatory Compliance Advisory - Americas
Contract type
Permanent Contract
Job summary
Summary
Global Markets Regulatory Compliance ("GMRC") Advisory - Americas Vice President is responsible for providing advisory on Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.
Key Responsibilities:
•Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program
•Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations
•Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements (i.e., FINRA, SEC, NFA, and CFTC requirements)
•Communicate new regulatory requirements simply and efficiently to affected business and other functions and stakeholders to ensure compliance
•Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program
•Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk
•Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions
•Evaluate new products and activities to ensure compliance issues are identified and remediated and assist in documenting GMRC evaluation based on appropriate regulatory requirements and Compliance risks identified
Key Internal contacts
•All Global Markets Division, Coverage and Investment Banking, Global Investment Banking business units;
•Legal department;
•Audit department;
•Risk departments; and
•Operations departments.
Key External contacts
The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC requirements.
Salary Range: $145k-175k
Position location
Geographical area
America, United States Of America
City
NEW YORK
Candidate criteria
Minimal education level
Bachelor Degree / BSc Degree or equivalent
Academic qualification / Speciality
Required:
6-10 years
Experience
•In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC, NFA, FINRA, and SEC rules and regulations applicable to swap dealer and broker dealer
•Knowledge of Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs.
•Judgement in handling complex and highly confidential matters with unquestionable character, integrity and professionalism.
•Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support.
•Analytical knowledge of complex products, issues and people and the mix of those, and the operational, financial, systemic and risk management processes around such products and offerings.
•A mastery of applicable CFTC, NFA, SEC, and FINRA rules and regulations; exceptional reasoning and analysis skills; attention to detail; strong oral and written skills, resourcefulness, among other abilities.
Technical skills required
Working knowledge of all Capital Markets products, including but not limited to Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities, Fixed Income, Securities Lending, and Repurchase Agreement