Global Markets Regulatory Compliance Advisory – Americas Director

• Provide regulatory and compliance advice for fixed income product lines and mergers and acquisition advisory
• Provide regulatory and compliance advice for inquiries raised by Regulatory reporting (i.e., TRACE), Operations, and Finance teams
• Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations
• Maintain policies and procedures (e.g., written supervisory procedures) to reasonably ensure compliance with applicable regulatory requirements
• Communicate new regulatory requirements to affected business and other functions/stakeholders to ensure compliance
• Assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program
• Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk
• Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions
• Evaluate new products and activities to ensure compliance issues are identified and remediated
• Contribute to the preparation of internal branch inspection and annual certification of compliance and supervisory reports to facilitate annual meeting with the CEO
• Support the CCO in administering his/her duties to overseeing the broker dealer compliance program

• Bachelors Degree
• Series 7, 63, and 24 Required
• 8+ years prior compliance advisory experience, including interaction with US regulators
• Experience in managing a small team of compliance officers
• In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of SEC and FINRA broker dealer requirements
• Knowledge of Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs
• Judgement in handling complex and highly confidential matters with unquestionable character, integrity and professionalism
• Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support
• Analytical knowledge of complex products, issues and people and the mix of those, and the operational, financial, systemic and risk management processes around such products and offerings
• A mastery of applicable SEC and FINRA rules and regulations
• exceptional reasoning and analysis skills
• attention to detail
• strong oral and written skills, resourcefulness, among other abilities
• Working knowledge of all Capital Markets products, including fixed income and mergers and acquisition advisory
• Proficiency in Excel, PowerPoint, and Microsoft Office

JD Desired