The CCO Role exists to ensure the bank remains compliant with all US Regulatory requirements. Additionally, the CCO is tasked with implementing and maintaining a compliance culture within the Firm, where Firm policies are understood and adhered to, and instances of non-conformity are addressed/escalated in a timely manner.
- Provide comprehensive compliance support and advisory coverage to Markets, Syndicate, and Corporate Finance groups within the NY Branch
- Communicate key regulatory change to impacted areas
- Develop and implement written supervisory procedures to ensure compliance with US regulatory requirements
- Anti-Money Laundering lead with full responsibility for monitoring compliance with US AML obligations
- Ensure client on-boarding process meets expectations around customer identification program? and KYC
- Successful completion and follow-up of all regulatory examinations, internal/external audits, regulatory inquiries, and compliance reviews
- Monitor and document TRACE reporting obligations
- Regulatory approval for new proposed business activities/products
- Vendor due diligence
- Review of all personal account trading performed by NY Branch employees
- Annual Compliance training and testing
- Email surveillance, advertising and sales literature review, personal account dealing
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????????? Enable a strong foundation for growth
????????? Make sense of a changing world
????????? Leadership and talent factory for the bank
????????? Partner with business to enable performance
Deliverables defining success:
????????? Improved response times and process improvements
????????? adherence to risk appetite and strengthened risk and control environment
????????? Effective oversight of AONP change risk & transformation in C&IB offshore
????????? Adherence to all regulatory commitments and controls
- Increased employee engagement
- Post graduate qualifications in business, finance, accounting, economics and/or science.
- Membership of professional/industry bodies will be favorably considered
- U.S. securities licenses and registrations required: minimum Series 7; 24; 63.
- U.S. Broker Dealer Compliance experience [10 years +]
- Front Line Business experience ? leading a customer facing business unit or being responsible for profit & loss
- Three Lines of Defense' exposure in either 1st or 2nd Line role
- People Leader experience
- May have had experience working with FINRA
- Deep understanding of risks associated with financial services (eg Operational Risk, Compliance, Reputational Risk, Process Risk, Conduct Risk, Product Design and Implementation Risk, Credit Risk).
- Viewed as a peer with front-office personnel ? strong track record of establishing credibility and building trust at all levels. Sought out as a thought leader
- Proven experience of managing risk, risk profiles and the alignment of strategy based on Risk.
- Experience with maintaining a proactive and productive relationship with external regulators.
- Demonstrated ability to make risk based decisions (value creation through managing risk).
- Strong business acumen ? business and financial judgement,? problem solving skills and ability to distill large volumes of data/information
- Outstanding communication, organisational and interpersonal skills - strong presence with proven ability to interact, challenge and influence effectively at Board/Committee, and all levels within the organisation.
- Confident ? prepared to take a position and hold it even when others have differing views.
- Strong conceptual and strategic thinker with the ability and vision to see the big picture and dis aggregate business plans into component risks.
- Resilient ? remains calm under constant pressure
Associated topics: bond, capital, fund, ira, market, nasdaq, risk, security, sell, s p