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Job Title: Securities Law Compliance Manager (Washington DC area) ( ID: A7046 )
Career Category: Compliance, Mortgages, Regulatory Compliance, Risk Management, Securities
Posted Date: 2015-10-30
Location: Washington DC area
An exciting opportunity for a seasoned lawyer with securities law compliance experience to join a collaborative, dedicated and well regarded legal team!

Our client, a reputable U.S. Financial Institution, is currently seeking a Securities Law Compliance Lead to join its Capital Markets Compliance group, which handles securities and derivatives compliance risks and supports risk management in the company’s various lines of business.

The Securities Law Compliance Manager will support the capital markets businesses by building, maintaining and enhancing the information barrier program, including serving as the lead liaison with information technology and corporate data protection efforts. Manager will provide compliance advice on handling and protecting material non-public information throughout the organization. Other responsibilities are expected to include supporting the design and build of key aspects of the monitoring programs such as surveillance and trade monitoring, training, and monitoring above-the-wall and wall crossing situations.

Responsibilities Include:

*Advising employees on the identification and safeguarding of material non-public information, including formal and informal training and awareness sessions, including collaborating with data protection and ethics personnel on consistent messaging for employees
*Designing, overseeing and implementing components of an information barrier program, including preventative and detective controls, training and information technology monitoring
*Conducting trade and market surveillance to support the company’s capital markets trade monitoring program, including information barrier, limit monitoring, analysis of exceptions and potential violations
*Coordinating capital markets compliance deliverables by team members, including baseline processes and special projects
*Developing key relationships across the enterprise to mitigate risks associated with material non-public information


*Minimum of 7 years of experience in a similar role at a broker-dealer or regulated institution or regulator, with experience in information barrier programs, trade surveillance, responding to regulatory requests, compliance program related to fixed income or derivative trading, establishment and maintenance of compliance and business policies and procedures, providing training and compliance advice, and serving as the point of contact for legal, regulatory and business areas
*JD or equivalent
*Knowledge of mortgage-backed securities or mortgage finance, Information Barrier Program Experience and Securitization
*Experience interacting with executive level customer personnel and frequently coordinating across organizational lines
*Experience in demonstrating exceptional analytic skills, attention to detail and organizational skills
*Experience working effectively independently as well as in a team environment, including with cross-functional teams
*Experience on compliance information technology projects and knowledge of information security protocols
*Experience with Microsoft SharePoint
*Superior oral and written communications skills
*Ability to work effectively with continuous change and short deadlines
*Demonstrated business acumen, problem solving skills, intellectual maturity, and relationship management skills
*Willingness to travel occasionally

If this describes you, and you are interested in joining a well established, growing organization that provides a a stimulating work environment, and promotes great work-life balance, we want to hear from you!

Only candidates with the requisite experience will be considered.



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