Debt Capital Markets Compliance Advisory
Salary $140000 - $170000 per year
Consultant Lucky Nguyen
Date posted October 18, 20187 Times Square New York NY 10036 Robert Walters United States of America
A well known broker/dealer who specializes in the capital markets space is looking to hire an advisory compliance officer with a strong background dealing with debt capital markets.
About the Debt Capital Markets Compliance Officer role:
This opportunity is looking for a compliance officer with advisory experience in corporate finance business lines and will focus on providing real-time compliance advice to the investment banking, leveraged finance, equity and debt capital markets business units.
- Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
- Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
- Draft, update, and implement relevant policies and procedures.
- Provide regulatory/compliance training.
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
The ideal candidate for this role will come from a sizeable bank or broker/dealer working within the fixed income advisory compliance group.
This organization is rapidly growing and is looking to add head count to their compliance advisory team.
If you are a motivated compliance officer, this is a great opportunity for you.
Apply today or call me, Lucky Nguyen, on 212-704-9900