Summary:
The Investment and Corporate Banking Advisory (“ICBA”) Compliance Officer – Americas is responsible for the regulatory advisory function of the investment banking and financing activities. The candidate will be responsible for ensuring adherence to compliance standards and managing risks associated with investment banking and financing activities. The candidate should have a clear understanding of the various businesses within the scope of ICBA.
Primary Responsibilities
- Provide general advisory services in connection with investment banking & financing activities
- Provide advice and regulatory guidance to the private side of the bank and to the public side regarding control room-related issues, in coordination the Conflicts Management Group (“CMG”) if necessary
- Identify and prioritize regulatory and compliance risks associated with investment banking and financing activities.
- Maintain and update the applicable policies and procedures to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic.
- Partner with other Compliance teams, including CMG, Transversal, Financial Security and Capital Markets Compliance on matters related to investment banking and financing activities.
- Assist in analyzing complex situations and provide guidance for these situations.
- Assist in responding to regulatory inquiries, audits, examinations and investigations.
- Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance oversight program is implemented, as applicable.
Management and Reporting
The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Officer for the Americas.
Key Internal contacts
- All investment banking and financing business lines;
- Legal department;
- Audit department;
- Risk departments; and
- Operations departments.
Key External contacts
The Firm’s regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC.
Qualifications/Education Required:
- Bachelor Degree
- Graduate Degree or Law Degree preferred
Experience Required:
- 12+ years of experience in the banking industry in working in the areas of, investment banking and financing activities advisory and/or control room.
- Experience with international, cross-border topics related to the financial industry.
- Experience in dealing with U.S. financial industry regulators.
Approved Person Registration
- FINRA Series SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is required.
Competencies Required:
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.
- Strong analytical, problem-solving and organizational skills.
- Capable of handling multiple, simultaneous and various ad-hoc requests.
- Ability to prioritize and work in a dynamic, deadline-focused environment.
- Analytical capability: able to break down complex problems into simple manageable units, develops solutions for each unit and integrate them back into the whole.
- Strong intellect with consistent application of analytical skills and capacity to translate technical and complex issues for broader audiences in a straightforward manner, articulating the key issues facing the group; ability to get up to speed quickly with complex issues.
- Results-oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results.
- Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization. The candidate should be able to relay complex technical concepts to non-technical audiences, capacity to steer discussion back to the objectives when needed and ensure respect of the deadlines and commitments.
- Strong interpersonal effectiveness is self-aware of their own behavior and work style as well as tolerant of different needs and viewpoints. Demonstrates interest in others opinions and shows consideration, concern and respect for other people feelings.
- Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems with strong influencing and negotiating skills, but recognizing the need to work with colleagues, and to seek guidance if necessary; a hands on approach that extends to taking practical initiatives, as necessary, to move issues forward.
- Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues.
- Patience and tenacity to obtain results that can be clearly evidenced.
Skills & Knowledge Requirements
- English: fluent
- French, Spanish and /or Portuguese is a plus
- Working knowledge of Investment and Corporate Banking products.