The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.
Global Capital Markets (GCM) Compliance provides an advisory and control service for the GCM Division to provide real time advice and monitor business activities for adherence to both Firm and regulatory requirements. The group monitors new rules and regulations and industry standards, and maintains written policies and procedures. We devise an annual compliance program and conduct and coordinate monitoring, testing and training for the division.
Compliance Coverage Officer will support Americas GCM professionals and other first line control functions, including Risk Management and the Syndicate and Loan Operations teams. The Role will focus on providing compliance advisory to the fixed income capital markets businesses, including investment and non-investment grade syndicate desks, asset backed offerings, project finance, leveraged finance teams (relationship and event loans), debt buybacks and debt private placements. The Compliance professional will also advise and assist the corporate derivatives desk with respect to interest rate and foreign currency swap activity. This role will require some dedicated time physically located with business.
Provide real time advise to business on various regulatory and policy matters Actively monitor regulatory developments and trends, and coordinate with the business unit to comply with new or amended regulations
Design and deliver applicable training for business unit personnel, infrastructure personnel and supervisors, as appropriate
Draft and maintain Compliance policies and procedures and Notices as well as Written Supervisory procedures as prescribed in FINRA Rule 3110
Coordinate and assist with execution of testing and monitoring program
Assist with regulatory inquiries, examinations and internal audits
Participate in annual Compliance Risk Assessment and annual compliance planning
Participate in New Product Approval process
Global coordination with regional Legal and Compliance peers
Interact with Risk Management to ensure business processes remain compliant with Firm and
Department policies and industry regulation
Coordinate with IBD and equity capital markets compliance professionals
Participate in additional projects as appropriate
Bachelor's degree required, JD a plus but not required
Minimum six years of compliance or equivalent experience, preferably supporting Fixed Income Capital Markets or desk experience
Strong written and oral communication skills with ability to effectively communicate with business professionals, risk managers and supervisors
Strong analytical skills, well organized, energetic and able to juggle multiple projects and assignments
Team player who works well with others at all levels
Internal Number: 3224160
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