Equities Compliance And Operational Risk Officer

Profile

Equities Compliance And Operational Risk Officer
The candidate will act as a compliance subject-matter expert for the FX, Rates and Credit division of the Investment Bank; guide, challenge and advise complex business units regarding compliance, conduct and operational risks, and regulatory obligations; including supporting the business in maintaining high standards of culture and behavior; work closely with colleagues in Compliance & Operational Risk Control (C&ORC) to promote best practice and consistency across divisions and asset classes; develop and deliver in-person compliance training; establish, maintain and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards; support team member participation in governance forums, committees, and new business initiatives; ensure risk frameworks are designed well and operating effectively. Must have a BS/BA degree (MBA or JD a plus). Should preferably have 1–2 years' experience in compliance, legal, risk control or audit with experience in Equity Derivatives.

Company info

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