Compliance Manager - Capital Markets Compliance

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Compliance Manager - Capital Markets Compliance
The candidate will be assessing compliance risk through reviews of new business initiatives, 1LOD’s risk and controls assessments, and quarterly risk review processes. Participating in monitoring the firm’s compliance with capital markets-related obligations. Supporting the testing of 1LOD’s compliance with applicable securities and derivatives laws and regulations. Managing the documentation and timely remediation of capital markets-related issues that have been identified by the 1LOD and 2LOD. Representing the team in meetings with partners in the business divisions and internal audit. Collaborating with 2LOD teammates in Enterprise Risk Management (ERM), as well as 1LOD and 3LOD partners, to mitigate and manage compliance risks related to securitization and capital markets activities across the enterprise. Understanding the ERM Framework. Should have a Bachelor's Degree and 8+ years of work experience in Compliance or enterprise risk management functions, preferably in a bank, broker-dealer or other financial markets organization. A JD, MBA or other graduate degree in Finance or a related field is preferred. Domain expertise in securities and derivatives-related laws and regulations, capital markets activities, securitization and structured finance transactions. Project management skills preferred. Clear communication skills and ability to convey complex concepts in simple and easily understood terms. Strong analytical skills and keen attention to detail. Ability to work effectively in a dynamic environment. Excellent interpersonal skills, including the ability to influence and collaborate with partners across the enterprise.

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