Compliance Capital Markets Principal

Profile

Compliance, Capital Markets Principal

The candidate will serve as a capital markets regulatory expert for the design and conduct of comprehensive, complicated compliance engagements, including mock regulatory examinations/audits, review of adequacy and effectiveness of compliance programs and internal controls, and analyses of trade data and trading strategies. Collaborate effectively with other practices in the firm, including cutting-edge digital assets team. Interact comfortably with client personnel and regulatory authorities, generally with a Director or Managing Director present. Manage Analysts and Associates assigned to projects. Design and execute project workstreams and analysis by evaluating client information such as policies and procedures and transaction data; researching and applying regulatory requirements; and developing observations and recommendations for program enhancements. Travel as required to client sites in the United States and internationally. Time spent traveling can be as much as 50-75 percent, depending on the nature and location of projects. Support Compliance Practice Group initiatives, including thought leadership, business development, and talent management.

Additional Information

Req ID:597478BR.

Company info

Promontory Financial Group, LLC
801 17th Street, NW, Suite 1100
Washington
District of Columbia
United States 20006
Website : http://www.promontory.com