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Job Title: Capital Markets Senior Compliance Manager (New York or Washington DC area) ( ID: A3660 )
Career Category: Capital Markets, Compliance, Legal, Regulatory
Posted Date: 2015-12-09
Location: New York or Washington DC area
An exciting opportunity for a seasoned lawyer with Capital Markets compliance experience to join a collaborative, dedicated and well regarded legal team!

Our client, a reputable U.S. Financial Institution, is currently seeking a Capital Markets Senior Compliance Manager 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.

As a key member of the Team, the primary responsibility will be to support effective compliance with securities and derivatives laws, rules and regulations and industry best practices in the lines of business through the development and implementation of policies, standards and procedures. Experience leading projects, including serving as the division liaison with information technology personnel, or with data analytic and management groups, is strongly desired.

Responsibilities Include:

• Design and implementation of compliance risk management procedures by the first line of defense and development and, as a member of the second line of defense, monitoring of key risk indicators and other surveillance, risk assessment and reporting activities.
• Assessing information barrier risk associated with communications, including data access, between private side and public side employees.
• Designing and building risk-based components of a comprehensive compliance oversight program in the Compliance division, in collaboration with other risk oversight groups such as Operational Risk Management, Enterprise Risk Management and Information Technology teams
• Design, implement and execute monitoring and surveillance programs for complex structured securities
• Assess compliance risk through review of reports, key risk indicators, issues logs and exception analysis, including integrating with Enterprise Risk Management functions
• Collaborate with Compliance testing team to develop testing plans and oversee execution of testing and integration of testing results into compliance risk assessments
• Support the information barrier program, including monitoring communications between private side and public side employees in meetings and over electronic communication platform and conduct periodic review of data transmittals
• Collaborate with operations personnel, the legal division, information security and other key internal partners to maintain compliance risk management tools and standards throughout corporate policies and procedures
• Position may include compliance with derivatives requirements


• Minimum of 5 years of experience in a similar role at a broker-dealer or regulated institution or regulator, with experience in legal, compliance or similar risk management role
• JD or equivalent
• Experience 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
• Knowledge of the capital markets, trading instruments (including mortgage-backed securities, fixed income and derivatives) and mortgage finance
• Experience with working effectively in a changing environment

If this describes you, and you are interested in joining a well established, growing organization that provides 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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