IFG Global has partnered with a large Financial Services organization to find a local New York Compliance Officer. The Compliance Officer is a fundamental contributor to the successful management of the Firms Insider and Proprietary information. Located in New York, you will become part of a global team responsible for supporting the US Investment Banking and Research teams. You will be responsible for monitoring and enforcing information barriers between public and private sides of the business and will assist with development of policies and procedures to ensure the effective practices to contain sensitive or material non-public information.
- Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs
- Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives
- Influences to achieve effective regulatory compliance controls that enable business objectives
- Identifies and advises on emerging issues and trends to inform decision-making
- Helps determine business priorities and best sequence for execution of business/group strategy.
- Builds effective professional relationships with business group, internal/external stakeholders and trust with regulators
- Analyses and reports on compliance data, and related data to gain insights on regulatory risk
- Oversees the development and maintenance of guidelines and procedures, providing advice/rulings as necessary, for a single function within a geographic area
- Participates in the design, implementation and management of core business/group processes
- Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls
- Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements
- Supports root cause analysis in response to material control failures in business/group
***Additional duties as assigned***
- Minimum of 3 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
- Recognized compliance certificate or equivalent preferred
- Detailed knowledge of consumer protection regulations and related marketing and advertising guidelines
- Skilled knowledge of regulatory/ compliance requirements and the operations of a single client group
For immediate consideration please send resumes directly to email@example.com