VP/D - Municipal Sales and Trading and Public Finance Compliance
**MEMBERS ONLY**SIGN UP NOW***
VP/D - Municipal Sales and Trading and Public Finance Compliance','90154781','US-New York-New York City','Permanent/Regular','Permanent/Regular','18 Sep 2017','Ongoing','','','!*!About **MEMBERS ONLY**SIGN UP NOW***
**MEMBERS ONLY**SIGN UP NOW*** is a transatlantic consumer, corporate and investment bank offering products and services across personal, corporate and investment banking, credit cards and wealth management, with a strong presence in our two home markets of the UK and the US. Our goal is to become the bank of choice by providing superior services to customers and clients and supporting our stakeholders via a commercially successful business that generates long-term sustainable returns.
Our two clearly defined divisions, **MEMBERS ONLY**SIGN UP NOW*** UK and **MEMBERS ONLY**SIGN UP NOW*** International, provide diversification by business line, geography and customer, enhancing financial resilience and helping to contribute to the delivery of consistent returns through the business cycle. We have a strong core business with exciting prospects, well positioned to deliver long-term value for our shareholders.
Consistent with the objective of delivering long-term sustainable value for all our stakeholders, we have developed our Shared Growth Ambition – our approach to citizenship and the sustainability of the business model we operate. The aim is to make decisions and do business that provides our clients and customers, and the communities which we serve, with access to a prosperous future.
The delivery of our strategy is underpinned by the energy, commitment and passion of our people, and we are clear on our common purpose: to help people achieve their ambitions, in the right way.
About Markets - Municipal
Municipal Sales and Trading and Public Finance businesses sit within the Markets division of the Investment Bank.
About ComplianceCompliance operates as one team to drive the right customer outcomes and protect the integrity of the financial services markets through innovation. Please visit our website here for more information.
It is the policy of **MEMBERS ONLY**SIGN UP NOW*** to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.
Dynamic working gives everyone at **MEMBERS ONLY**SIGN UP NOW*** the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.
“We are an equal opportunity employer and we are opposed to discrimination on any grounds.”
Overall purpose of role
The purpose of the role is to effectively implement the Compliance program by primarily providing daily and project-based regulatory and compliance advice while performing a check/challenge function to the Municipal Trading and Public Finance business area, which primarily consists of sales and trading of securities and derivatives and underwriting of new Municipal Debt within Public Finance.
§ Advisory/Issue Mgmt – Act as key point of contact interacting directly with Sales, Trading, COO and Business Heads providing daily and project-based regulatory and compliance advice and issue management.
§ Training - Coordinate and administer ad hoc and periodic training to the Municipal sales and trading and Public Finance staff.
§ Assessments - Conduct ad hoc and periodic assessments of the Municipal sales and trading and Public Finance staff.
§ Partnership - Coordinate with, and potentially research/respond to inquiries raised by, the various central compliance functions (i.e., Surveillance, Control Room, Regulatory Inquiries, Breach Mgmt) and Markets Compliance teams related to the Municipal sales and trading and Public Finance.
§ Business Expertise – A substantial understanding of securities, loan and credit derivative products and the role that Sales and Trading acts as a market maker. The role will typically have a local focus with some global work and understanding required. A good understanding of how the team integrates with the area locally and globally in achieving overall objectives is required.
Stakeholder Management and Leadership
§ Building Self-insight & relationships (i.e. Interpersonal/communication skills) - Excellent verbal and written communication. Ability to communicate sensitive or difficult information.
§ Proficiency at influencing and negotiating sales and trading staff and other infrastructure support functions on compliance related matters. Influencing and negotiating will occur with staff at varying levels of seniority.
Decision-making and Problem Solving
§ Driving Continuous Improvement and Innovation (i.e. Problem Solving/Analytical Skills)
o Uses evaluative judgments based on the analysis of information to implement solutions.
· Has authority to make decisions for own area of work and applies discretion based on practice / previous experience.
· The ability to create and drive compliance solutions to completion with minimal oversight.
Risk and Control Objective
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal **MEMBERS ONLY**SIGN UP NOW*** Policies and Policy Standards.
§ Business Expertise – A substantial understanding of securities, derivative products and the role that Sales and Trading acts as a market maker. The role will typically have a local focus with some global work and understanding required. A good understanding of how the team integrates with the area locally and globally in achieving overall objectives is required.
Essential Skills/Basic Qualifications:
§ 5 years in the financial services industry, preferably at a broker-dealer/swap dealer.
§ College Degree
Purpose and Values
**MEMBERS ONLY**SIGN UP NOW*** has a single cross-business Purpose for **MEMBERS ONLY**SIGN UP NOW*** and five core Values which underpin it.
Our Purpose is helping people achieve their ambitions in the right way. Put simply this is the answer to the question ‘What is **MEMBERS ONLY**SIGN UP NOW*** for?’ and it should guide our every action as employees.
We respect and value those we work with, and the contribution that they make.
We act fairly, ethically and openly in all we do.
We put our clients and customers at the centre of what we do.
We use our energy, skills and resources to deliver the best, sustainable results.
We are passionate about leaving things better than we found them.
','','','','','VP/D - Municipal Sales and Trading and Public Finance Compliance
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New York City, NY
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