Corporate & Investment Bank-Compliance Job Description
Corporate & investment bank-compliance
provides in-depth knowledge and experience of the relevant SEC's, FINRA's, the Dodd-Frank Act and other securities rules and regulations and syndicated underwriting activities.
Corporate & Investment Bank-Compliance Duties & Responsibilities
To write an effective corporate & investment bank-compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included corporate & investment bank-compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Monitor, analyze, and interpret new rule and regulations issued by the SEC, FINRA, CFTC, OCC, Federal Reserve and other regulators and participate in industry initiatives relating to new regulations and other issues
Advise on how to meet regulatory obligations and assess the impact of proposed, amended and/or new regulations through the evaluation of regulatory developments, , working with relevant teams to help design and implement effective and pragmatic compliance controls and solutions, as necessary
Advise the business on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments implementation of required controls
Develop and implement enhancements to program for complying with Dodd-Frank and related regulations
Point person for various internal compliance functions such as, preparing/providing/tracking training, risk assessments, coordinating audits/compliance testing, assisting with regulatory inquiries and examinations
Performing analysis on transactions to identify unusual activity, conduct research/ investigation to form recommendations on degree of suspicion on a timely basis
Presenting recommendations to senior members of compliance for discussion
Querying and discussing issues uncovered with the CIB / TSS business
To work with compliance officers in other regions and the CIB / TSS compliance officer in arriving at suitable solutions for cases or issues
Work with the GFCC Head of the Corporate and Investment Bank on development of the CIB's AML Program
Corporate & Investment Bank-Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Corporate & Investment Bank-Compliance
List any licenses or certifications required by the position: OFAC, AML, FSFM
Education for Corporate & Investment Bank-Compliance
Typically a job would require a certain level of education.
Employers hiring for the corporate & investment bank-compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in MBA, Finance, Accounting, Auditing, Financial Services, Law, Business, Economics, Technology, Education
Skills for Corporate & Investment Bank-Compliance
Desired skills for corporate & investment bank-compliance include:
Learning Management Systems
Microsoft Office applications
Distributed computing environment
Dodd Frank and Volcker regulations
Hong Kong regulations and key industry issues & themes
System development life cycle concepts with an ability to quickly learn a complex
Monitoring and reporting
Training
Controls development
Risk assessment
Desired experience for corporate & investment bank-compliance includes:
Have either audit, relevant industry qualifications, or a university degree
At least 6 years of audit, compliance testing or monitoring, or relevant Compliance experience
Education to degree standard is preferable, as is a relevant professional qualification (CRCM, CRCP, CFE)
Good track record in a similar role
Sharp business acumen (including ability to assess risk and appropriate levels of return), strong leadership qualities, proven record of relationship building with a spectrum of stakeholders, excellent and multi-cultural awareness and sensitivity
Strategic vision for the function
Corporate & Investment Bank-Compliance Examples
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Corporate & Investment Bank-Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of corporate & investment bank-compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for corporate & investment bank-compliance
- Advise the MS business about how to comply with current and new laws and regulations applicable to existing and new products and services how to address compliance risk-relevant issues and correct client impacts
- Accountable for second line oversight of controls designed to ensure compliance with relevant laws and regulations
- Manage the deliverables for the weekly, monthly and quarterly Escalation & Reporting processes for senior CIB Compliance management
- Develop a robust, end-to-end reporting framework for CIB Compliance that facilitates a transparent environment and communication channel for escalating compliance risk issues and regulatory updates
- Ensure key trends, issues and watch items are brought forward clearly and accurately from MIS into management summaries
- Engage with CIB Compliance leadership and other stakeholders to define, prioritize and implement requirements for senior management reporting, which may include both qualitative program updates and quantitative, metrics-based reporting
- Drive the implementation and execution of Compliance best practices for CIB Compliance Reporting – , procedures, governance documentation and quality assurance (QA) reviews
- Independently develop value-adding report enhancements and reporting solutions
- Participate in working groups and initiatives within Compliance and/or with other business / functional partners
- Manage ad hoc reports, projects and requests
Qualifications for corporate & investment bank-compliance
- Sound understanding of the principles of Financial Crime Compliance, and the Bank's AML and sanctions controls
- Strong organizational, spreadsheet and database skills
- Assist the Team Lead in executing an effective program of continuous auditing for EMEA Compliance CIB
- Has flexibility regarding working hours as candidate might have to work with global teams or stakeholders
- Minimum Bachelor's degree in Accounting, Finance or related discipline and/or other relevant professional qualifications, CPA, CAMS
- Minimum 3 years relevant experience in investment bank or broker-dealer operations
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Corporate & Investment Bank-Compliance Job Description
Job Description Example
Our company is growing rapidly and is hiring for a corporate & investment bank-compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for corporate & investment bank-compliance
- Intake requests for data, analysis or reports, gate keep and manage expectations among ad hoc and BAU initiatives
- Oversee the spend management process which includes budget spending, obtaining financial approvals, tracking dollars invoices and paid, monitoring trends and reporting
- Working with sub-lines of business and functional partners to understand unique business needs and develop working relationships with content experts, decision makers or relevant stakeholders
- Independently develop value-adding business solutions
- Leads business analysis and process design sessions, as needed
- Develop and partner with stakeholders on executive presentations
- Act as a communication channel for ongoing business management status and issues, opening up communication channels, coordinating messages and setting business expectations
- Coordinate with Legal and Compliance colleagues and members of other control groups (including Operations, Risk
- Manage senior level reporting efforts within the weekly, monthly and quarterly Escalation & Reporting processes which is delivered to key senior CIB Compliance management
- Develop and manage a robust, end-to-end reporting framework for CIB Compliance that facilitates a transparent environment and communication channel for escalating compliance risk issues and regulatory updates
Qualifications for corporate & investment bank-compliance
- Proven ability to enhance or influence a control environment
- Demonstrated ability to analyze work flows and processes
- Management experience leading project teams from creation to execution
- Strong network of regulatory and industry contracts
- Experience in applying adult learning methodology in a corporate training setting
- Experience in managing relationships with external vendors
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Corporate & Investment Bank-Compliance Job Description
Job Description Example
Our company is growing rapidly and is hiring for a corporate & investment bank-compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for corporate & investment bank-compliance
- Participate in working groups to move initiatives forward within Compliance and/or with other business / functional partners
- Working with and build relationships with regional Business Managers
- Execute and Implement tactical solution and processes
- Provide real-time regulatory advice to the Equity Sales and Trading businesses with a focus on Cash Sales and Trading issues, including Block Transactions
- Identify and address any gaps between existing processes and new regulatory requirements
- Represent Compliance in internal governance and business forums as needed
- Develop product and regulatory subject matter expertise and monitor industry developments
- Promote a strong compliance culture and controls mindset and participate in regulatory exams as needed
- Representing WP Compliance at relevant business meetings or forums
- Providing subject matter expertise on a wide range of regulatory and firm policy issues
Qualifications for corporate & investment bank-compliance
- Providing tactical team support , , procedure updates, presentations and reporting for senior management
- Solid Compliance experience or other related experience legal, risk management, audit, Operations Controls or similar
- Provide real-time advice to the business on regulatory and compliance issues, particularly Dodd-Frank Title VII requirements
- Draft, revise, and implement Compliance policies and procedures
- Must have 5+ years legal practice or compliance experience
- Strong interpersonal skills and high energy/enthusiasm
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Corporate & Investment Bank-Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of corporate & investment bank-compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for corporate & investment bank-compliance
- Develop and execute relevant Compliance monitoring activities
- Following PC Skills are required
- Excel (VBA, Macros) – Advanced
- Access (VBA) – Advanced
- SharePoint (InfoPath / SharePoint Designer) – Advanced
- Qlikview/business object - Advanced
Qualifications for corporate & investment bank-compliance
- Knowledge and experience of AML and KYC activities across Corporate and Investment Banking businesses and products
- In-depth understanding of audit practices and methodologies
- 5+ years relevant experience in investment bank or broker-dealer operations
- Experience in drafting policies and procedures (specific experience drafting supervisory procedures and compliance policies beneficial)
- 7-10 years of relevant work experience in business analyst / metrics / Business management role
- Ability execute and implement solution in a sustainable manner
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Corporate & Investment Bank-Compliance Job Description
Job Description Example
Our growing company is looking for a corporate & investment bank-compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for corporate & investment bank-compliance
- Effective issue Management and timely escalations in relation to all of the above
- Proven financial services work experience, preferably having worked in a Compliance, or regulatory / risk and controls related roles
- Proven ability to build strong partnerships with colleagues across levels
- Strong Compliance, risk and controls mindset with experience in understanding rules and regulations and being able to apply these to operational processes and controls would be beneficial
- Desire to learn quickly, be proactive and able to work independently and think strategically
- Strong track record of participation in regulatory change projects/implementation
Qualifications for corporate & investment bank-compliance
- 10+ years of Equity regulatory compliance or legal advisory experience
- Providing a high standard of daily Compliance Coverage to CIB markets operations giving guidance and effectively challenging where appropriate as second line of defense in accordance with compliance policies and best practices
- SME coverage for
- EMIR / MiFID & potentially other regulatory reporting regimes
- CFTC real time swap dealer regulatory reporting
- Risk Mitigation Techniques under EMIR/CFTC - Portfolio Reconciliations and Portfolio Compressions