CLIENT BACKGROUND
Our client is a Regional Investment Bank. We are seeking a Vice President of Equities Compliance to oversee our compliance program related to cash equities and derivatives. The ideal candidate will have at least 5 years of experience in compliance within the financial services sector.
JOB RESPONSIBILITY
- Develop, implement, and maintain compliance policies and procedures for cash equities and derivatives.
- Monitor and analyze regulatory changes impacting the business and ensure timely updates to compliance frameworks.
- Conduct compliance reviews and audits to ensure adherence to internal policies and external regulations.
- Provide guidance and support to business units on compliance matters, including trade surveillance and reporting.
- Collaborate with legal and risk management teams to ensure comprehensive compliance coverage.
- Prepare and deliver compliance training to staff to promote a culture of compliance.
- Liaise with regulatory authorities and manage compliance-related inquiries and audits.
JOB REQUIREMENTS
- Bachelor's degree in Finance, Business, Law, or a related field; advanced degree or relevant certifications (e.g., CAMS, CCO) preferred.
- Minimum of 5 years of experience in compliance, preferably within cash equities and derivatives.
- Strong understanding of relevant regulations and compliance requirements in the financial services industry.
- Excellent analytical and problem-solving skills with a keen attention to detail.
- Proven ability to communicate effectively with stakeholders at all levels.
- Proficiency in compliance monitoring tools and trade surveillance systems.
