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Director – U.S. Markets Investment Banking Compliance Advisory
Governance
pa, United States
240,000 USD
7 May 2025
Job Description
Director – U.S. Markets Investment Banking Compliance Advisory
NYC, NY – Hybrid: 2 days in office
As the Director – U.S. Markets Investment Banking Compliance Advisory, you will:
As the Director – U.S. Markets Investment Banking Compliance Advisory, you will need:
NYC, NY – Hybrid: 2 days in office
As the Director – U.S. Markets Investment Banking Compliance Advisory, you will:
- Designs, develops, delivers and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance.
- Directs day-to-day activities of the Investment Banking Compliance team in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits.
- Ensure comprehensive and robust policies and procedures (including written supervisory procedures) governing investment banking, securities underwriting, private placements.
- Provides strategic vision to the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific. Leads the provision of expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.
- Oversees the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions. Analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact.
- Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including the coordination of global implementations of new regulatory requirements.
As the Director – U.S. Markets Investment Banking Compliance Advisory, you will need:
- Bachelors degree or progressive work experience, JD is a plus
- 7+ years of years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
- Knowledge Corporate Investment Banking and Capital Markets
- Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.
- Must be a U.S. Citizen or Greencard Holder
Skills
AML (Anti-Money Laundering)
Job Reference
165358
Date Posted
7 May 2025
Industry
Compliance
Category
Compliance & Financial Crime
Role
Compliance Monitoring & Testing Specialist
Level
Principal-Level
Employment
Permanent
Working Location
Hybrid
Salary/Rate
240,000 USD
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