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Protection of Interest of Clients Officer, Vice President
January 24, 2018
New York, New York
1. Internal Controls and Compliance Program: covers enhancements, including:
Global Markets businesses (FX Local Markets ("FXLM"), Commodities, Rates
Conduct Program; and
Compliance and RISK
2. Compliance Risk Management Program: covering 2nd Lines of Defense or "LoD"(notably Compliance and RISK Operational Risk & Control or "RISK ORC") 3. Controls Review: covering a review of compliance policies and procedures with an appropriate risk-focused sampling of key controls (to be performed by IG/Internal Audit
Responsibilities: Assist the CIB Americas Protection of Interest of Clients (PIC) domain lead in defining and operationalizing the implementation plans in response to regulatory settlements, implementing initiatives to support application of PIC minimum standards and build out the PIC organizational structure across Canada, Latin America and US CIB Businesses to support commitments made to various regulators.
Operationalize implementation plans and undertakings made to various regulators.
Work with stakeholders (Businesses, Functions, Compliance) to draft and implement corrective actions plans as needed.
Partner with Compliance Advisory to lead and document reviews, surveys and gap analyses assessing PIC-related undertakings and local norms and controls.
Define milestones and document roadmaps and project plans for local, regional and group-wide implementation plans and initiatives.
Assist in organizing and producing PIC seminars focused on educating Businesses, Functions and Compliance on the application of PIC standards and status of initiatives.
Provide guidance in the scoping of risk assessments, desk reviews and control testing, and review and comment on the results.
Keep informed of regulatory developments relevant to PIC themes and disseminate to partners in Compliance and Conduct.
Provide guidance on scenarios which are escalated to PIC for domain level decisions.
Review and revise policies, procedures, disclosure documents and marketing materials and provide feedback on documents, control plans and other initiatives which touch upon remediation of issues and PIC themes.
Participate in the consolidation, generation and regular reporting of PIC metrics.
Assist in conducting regular meetings within Compliance and with Conduct partners including creation of agendas, meeting materials and minutes.
Create and administer training related to PIC initiatives, minimum standards, policies and procedures.
Support the Businesses and Functions in their obligation to identify and properly handle customer complaints and assist them in creating and reporting complaint records.
Minimum Required Qualifications
B.A. in Economics, Finance, Accounting, Math or related field.
7 - 10 years of experience in a Compliance Advisory, Front Office or Risk role.
Experience with processes related to risk assessments, testing, or audit.
Solid understanding of US rules and best practices related to the sales and trading of securities, foreign exchange, OTC and listed derivatives.
Strong familiarity with broker dealer and swap dealer rules.
Executive presence and ability to engage effectively with senior management.
Ability to prioritize and work effectively under time constraints, delivering high quality results.
Familiarity with financial products (e.g., derivatives, futures, structured products).
Excellent communication skills.
Ability to manage multiple projects independently.
Strong skills in MS Office (Powerpoint, Word, Excel).
Fluency in French, Spanish or Portuguese
Project management experience
Familiarity with non-US regulation (e.g., MiFID II / MiFIR)