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Clearing And Prime Brokerage Advisory Compliance Officer
New York City, NY Join us We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now. Job Title: Clearing and Prime Brokerage Advisory Compliance Officer Salary: Based on experience and qualifications Location: New York, United States Experience: 5 years in compliance, legal, risk control, or audit Your Role: • Act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank (IB). • Understand the business, key risks, regulations, and technology impacting the business. • Establish, maintain, and review policies, procedures and controls to comply with laws, rules, regulations, and industry standards. • Participate in governance forums, committees, or new business initiatives. • Engage with the business daily to challenge, educate and guide on compliance, conduct and operational risks. • Work closely with colleagues in Legal and Group Compliance, Regulatory & Governance (GCRG) on regulatory changes, risk assessments, monitoring and surveillance, testing, training, and regulatory engagement. • Ensure compliance risk frameworks are well-designed and operating effectively. Your Team: • You will be working in the IB Global Markets Americas Compliance team in New York. • The team is a part of the GCRG function, working closely with staff in the Prime Brokerage, Securities Lending and Futures and OTC Derivatives businesses within the IB. • The team is an independent risk management function that identifies and assesses compliance and non-financial risk in an environment of integrity, collaboration, and effective independent challenge. Your Expertise: • A BS/BA degree (MBA or JD a plus). • 5 years' experience in compliance, legal, risk control, or audit. • Existing knowledge of, or a strong desire to learn, the broad range of Prime Brokerage, Securities Lending, and/or Futures business activities, applicable regulations, and key compliance and non-financial risks. • A strong team player who can collaborate and communicate effectively with key stakeholders to drive change. • Able to provide clear, timely and appropriate guidance and independent challenge and know when to escalate. • Able to make decisions, resolve conflicts and exercise sound judgment under pressure. • Able to operate at both a detailed and strategic level, possessing attention to detail, analytical and organization skills, as well as excellent presentation skills. • Results-oriented and assertive (you don’t shy away from challenging situations). About the Company: • **MEMBERS ONLY**SIGN UP NOW*** is the world’s largest and only truly global wealth manager. • We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. • With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. • We value diversity, equity, and inclusion, as it strengthens our business and brings value to our clients. Join Our Team: • We're a truly global, collaborative and friendly group of people. • Having a diverse, inclusive and respectful workplace is important to us. • We support your career development, internal mobility and work-life balance. • If this sounds interesting, apply now and be a part of our team. |
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