Summary: The Investment and Corporate Banking Advisory (“ICBA”) Compliance Officer - Americas is responsible for the regulatory advisory function of the investment banking and financing activities. The candidate will be responsible for ensuring adherence to compliance standards and managing risks associated with investment banking and financing activities. The candidate should have a clear understanding of the various businesses within the scope of ICBA. Primary Responsibilities · Provide general advisory services in connection with investment banking & financing activities · Provide advice and regulatory guidance to the private side of the bank and to the public side regarding control room-related issues, in coordination the Conflicts Management Group (“CMG”) if necessary · Identify and prioritize regulatory and compliance risks associated with investment banking and financing activities. · Maintain and update the applicable policies and procedures to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic. · Partner with other Compliance teams, including CMG, Transversal, Financial Security and Capital Markets Compliance on matters related to investment banking and financing activities. · Assist in analyzing complex situations and provide guidance for these situations. · Assist in responding to regulatory inquiries, audits, examinations and investigations. · Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance oversight program is implemented, as applicable. Management and Reporting The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Officer for the Americas. Key Internal contacts o All investment banking and financing business lines o Legal department o Audit department o Risk departments and o Operations departments. Key External contacts The Firm's regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC. 12+ years of experience in the banking industry in working in the areas of, investment banking and financing activities advisory and/or control room. Experience with international, cross-border topics related to the financial industry. Experience in dealing with U.S. financial industry regulators. Bachelor Degree Graduate Degree or Law Degree preferred
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