Capital Markets Compliance Officer

Role Overview

• Partners with leaders in their assigned Line of Business, Risk/Compliance/Audit (RCA) Consultants, and other RCA Managers to, depending on the function, oversee the successful creation, implementation, and maintenance of an effective risk management framework
• Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations
• Facilitate the identification of gaps and drive solutions that minimize losses resulting from inadequate internal processes, systems, or human errors
• Ensures the active identification, response and/or escalation of risks as appropriate
• May influence policies and procedures to maximize profit potential and minimize regulatory exposure
• Accountable for an effective partnership between the Line of Business and the Lines of Defense

Requirements

• Bachelor's degree, or equivalent work experience
• Typically more than 10 years of applicable experience
• Advanced knowledge and experience with regulations applicable to Leveraged Finance and Investment Grade Debt Capital Markets and Syndicate, Loan Capital Markets, Brokered CDs and Structured Products
• Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Advanced understanding of the business line’s operations, products/services, systems, and associated risks/controls
• Thorough knowledge of Risk/Compliance/Audit competencies
• Strong leadership and management skills of processes, projects and people
• Effective written and verbal communication skills
• Strong analytical, problem-solving and negotiation skills
• Proficient computer skills, especially Microsoft Office applications
• Applicable professional certifications

Benefits

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from two to five weeks depending on salary grade and tenure)
• Up to 11 paid holiday opportunities
• Adoption assistance
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law