- Ivy Exec
- $140,340.00 -140,340.00/year*
10 Bayside Terrace
Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.Providing guidance on rules and regulations relating to the Firm??s Information Barrier, as well as, provide transactional approvals and interpretation of internal compliance policies.Providing advice related to Information Barrier issues, such as wall-crossings, Watch and Restricted Trading List, employee public/private designations, physical access controls, information access and sharing.Review and assess banking transactions to maintain the Firm??s Watch and Restricted Trading Lists as required by policy or regulation, and to address potential client conflict of interest.Review and process wall-crossings, review trading requests, manage instances of inadvertent sharing of information.Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance Information Barrier issues which may impact the Firm.Supporting the function/business/product in performing timely compliance reviews of new products.Assisting in the development and administration of Compliance training for the supported function/business/product.Researching any new reform rules and rule changes related to ICG Information Barrier and implementing policies, procedures or other controls necessary to comply with the rules.Additional duties as assigned.QualificationsEducation:Bachelor??s degree; MBA or JD preferredSeries 7 license is a plusExperience in a Control Group or related compliance function, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereofStrong working knowledge of financial services and the related operations and financial requirementsStrong working knowledge of function/business/product supported and the related operations and financial requirementsSkills and Competencies:Knowledge of Compliance laws, rules, regulations, risks and typologies, including, but not limited to Information Barriers, Global Research Settlement, Banking/Research conflicts of interests rules and regulationsMust be a self-starter, flexible, innovative and adaptiveStrong interpersonal skills with the ability to work collaboratively and with people at all levels of the organizationStrong written and verbal communication and interpersonal skillsAbility to both work collaboratively and independently; ability to navigate a complex organizationAdvanced analytical skillsAbility to both work independently and collaborate with team membersExcellent project management and organizational skills and capability to handle multiple projects at one timeProficient in MS Office applications (Excel, Word, PowerPoint)Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, Sales and Trading business.SDL2017
Associated topics: business, compliance, compliance office, counsel, court, internal, legal, legal affairs, legal department, llp
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
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