Background
Our client, a bulge bracket company, is one of the world's leading financial services company with interests in Investment banking, fund management, brokerages, trading, wealth management, capital markets and advisory company, with offices in 38 countries. Along with being a full scale investment bank they also offer a broad range of services to private clients, small businesses, and institutions and corporations to cover their financial needs. They have built a reputation of providing quality products and investment advice.
Responsibilities
The incumbent will in the office of General Counsel to ensure that business is conducted within guidelines set up the firm and is compliant with the regulatory framework applicable.
• Providing advice on application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and products.
• Partnering with business, to write supervisory and compliance policies and procedures.
• Reviewing new products and other new business initiatives.
• Partnering with other control functions and regional compliance (i.e. Audit, Operations, Legal, etc.) when matters of common or concern arise.
• Creating and implementing policies and procedures to promote compliance with legal and regulatory requirements within the company and to protect the reputation of the firm.
• Monitoring the activities of the business covered in cooperation with the surveillance area, to look for instances or patterns of unusual or inappropriate activity.
• Identifying training needs of staff and providing appropriate training.
• Handling routine regulatory reviews and enquires.