Summary:
The Investment and Corporate Banking Advisory (“ICBA”)– Americas is responsible for the Advisory function within Investment & Corporate Banking Regulatory Compliance (“ICBRC”), which comprises ICBA and the CMG (“Conflicts Management Group”). The candidate should have a clear understanding of the activities performed by the following business lines: Coverage, Global Investment Banking (“GIB”), and Global Financing Division (“GFD”). The focus of the role will be on advisory primarily to the various private side businesses in close coordination with the CMG, reporting, monitoring LoD1 Compliance controls, and the execution of some LoD2 Compliance controls.
Primary Responsibilities
Management and Reporting
The ICBA Compliance Officer reports directly to the Head of ICBRC in the Americas and the Head of ICBRC in Head Office
Key Internal contacts
Key External contacts
The Firm’s regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC.
Qualifications/Education Required:
Experience Required:
Approved Person Registration
Competencies Required:
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.
Skills & Knowledge Requirements
Licensed Professional Counselor (LPC) Wage: Between $86-$130 an hour Licensed Professional Counselor Are you ready to launch or expand your private practice? Headway is here to help you start accepting insurance with ease, increase your earnings with higher rates...
...Description Were Hiring: Web + Brand Designer Were on the hunt for a designer who... ..., print designs, and social media graphics as needed. Managing multiple projects... ...Columbus, Ohio required hybrid in-person/remote work Work with a supportive, creative...
...and making our company a great place to work. We help people navigate the health... ...promise to life with heart every day and our Pharmacy Technicians (Technicians) play a critical role in... ...setting; Ability to work in the home store, and across the market in other locations...
...Physical Therapy Assistant (PTA) Per Diem at Avante at Ocala, Inc. summary: A Physical Therapy Assistant (PTA) at Avante Skilled Nursing and Rehab works under the supervision of a Physical Therapist to assist in patient assessment, treatment, and documentation. The...
...to offer hope, is seeking an Occupational Therapy Assistant (COTA) to join our award-winning Special Education team and perform... ...members, emphasizing confidentiality and cultural respect. Traveling regularly and maintaining a consistent onsite presence to effectively...