Advisory Compliance- Equity Derivatives / Prime financing
Core
Senior Compliance Officer providing day-to-day guidance, challenge, and regulatory oversight to Sales and Trading desks covering Global Securities Financing, equity derivatives, and structured notes.
Role type
Senior IC compliance officer (Director/ED level)
Builds
Compliance guidance, policies, and risk assessments for CIB Americas Platform desks
Domain
Capital markets, equity derivatives, securities financing, regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
regulatory analysis, trade surveillance expertise, process and policy development, risk assessment facilitation, training development and delivery, stakeholder management, new product committee contribution, complex regulatory landscape navigation
Preferred skills
knowledge of foreign bank branches acting in principal and agent capacity, understanding of synthetic prime brokerage, familiarity with bond forwards and indexation products
Technologies
N/A
Responsibilities
Provide day-to-day guidance and effective challenge to Sales and Trading desks; Drive implementation of global and local projects related to new business initiatives or changing regulations; Develop and implement new compliance processes, controls, and policies; Contribute to New Product Committees to deliver clear guidelines; Provide subject matter expertise on trade surveillance escalations; Work with Front Office to facilitate risk assessments and develop action plans for high residual risks; Develop and deliver in-person and online compliance trainings
Seniority
Senior, hands-on IC with strategic partnership role