Job Summary & Responsibilities
Job Summary & Responsibilities:
The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. Divisional Compliance provides coverage support to the Division’s functional (including sales and trading) and product areas (fixed income, bank loans). Divisional Compliance also works closely with other Firm departments, such as Legal, Operations, Controllers, Credit, Information Technology and Internal Audit.
• Actively manage the regulatory and legal risks of covered business units.
• Provide advice on policies, procedures and regulations that impact firm activities and employee conduct
• Develop, draft and implement policies and procedures in response to regulatory drivers, other external drivers and business changes
• Perform risk assessment reviews of business unit for internal risk management and reporting processes
• Develop and deliver compliance training programs for business unit professionals
• Participate in regulatory and internal investigations and audits
• Review and assist in the design of surveillance reports
• Must be a proactive team player, with a strong sense of urgency and the ability to get along with others
• Quick learner who can adapt well to a fluid regulatory and business environment
• Ability to handle multiple tasks simultaneously and work under pressure
• Must work well under pressure and have a positive, hands-on, “can do” attitude
• Self-starter with the ability to work effectively with minimum supervision.
• Strong interpersonal skill
• Good communication/presentation skills
• Good drafting ability; Clarity and brevity in communication is essential
• Strong analytical, organizational and researching skills
• Should be detail oriented and enjoy fact-gathering, whether through documentation review, conducting live interviews or analyzing trade data
Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.