Global bank seeking a talented compliance officer to join its Institutional Markets Compliance Testing team. This role will focus primarily on testing the Firm’s institutional equities and fixed income sales and trading businesses. 

Responsibilities:

• Conduct compliance reviews under the direction of the Americas Head of Compliance Controls Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks.
• Participate in developing a review work plan based on the results of the annual compliance risk assessment
• Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance.
• Prepare and distribute reports to senior management detailing review findings and recommendations
• Periodically report on significant activities conducted and planned for the upcoming period
• Review all banking-related reports prior to vetting the report with other stakeholders.
• Meet with senior management in Compliance, the business and other control functions to provide overview of significant risks and control gaps.

Qualifications:

• 10+ years’ experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
• A background in Advisory / Line-of-Business Compliance is a strong plus, particularly Equities or Fixed Income Compliance
• BA/BS required. JD, MBA or Masters is a plus