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VP Capital Markets Compliance

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    17 days ago

  • Expiry date:


  • Startdate:


We've partnered with one of the top capital markets players in the Chicago market as they look to add an experienced Broker-Dealer/Capital Markets Compliance professional to their team. With likely pipeline to add multiple headcounts in the not too distant future too.

What you'll be doing:

  • Monitors and advises on management of risk requirements within the defined risk appetite.
  • Manages/supports large/complex risk programs/frameworks /projects/initiatives to ensure risks are appropriately mitigated and regulations adhered to.
  • Acts as a subject matter expert in the evaluation, development and implementation of an internal control system
  • Monitors industry and legislative developments and continuously updates programs to ensure they are competitive and effective
  • Supports the position on regulatory compliance issues by interpreting requirements (existing, new, and emerging) and identifying, analyzing, and addressing resultant gaps and issues
  • Supports the management of 1st LOD program for the business/group in compliance with appropriate principles, standards & direction from the second line of defense groups

What they're looking for:

  • 5+ years of experience within capital markets or Broker-Dealer compliance 
  • Bachelors degree level educated 
  • Series 7 & 24 ideal but not essential

For  more information get in touch with thomas byrne at Hamlyn Williams at or 646 349 4411