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Compliance Manager
Ref No.: 17-14692
Location: New York, New York
The Compliance Manager is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit ( "FLU ") and Control Function ( "CF ") performance and any related third party/vendor relationships in alignment with the Compliance Risk Management ( "CRM ") Program and the Global Compliance Enterprise Policy (GC Policy). As a member of a FLU or CF compliance officer team, demonstrates and applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance risks. This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CRM Program objectives, balancing business strategy with appropriate controls.The municipal markets compliance manager will provide line of business compliance coverage to the Municipal Markets Group (banking, sales and trading).
Required Skills:
  • Minimum 7 years compliance or municipal securities regulatory experience with a Municipal broker dealer or regulator
  • Solid understanding of MSRB / Client Rules
  • Experience with Municipal bonds and derivatives
  • Bachelor's degree or equivalent
  • Excellent verbal and written communication skills, requires interaction with senior management
  • Ability to multi-task in a fast paced environment
Desired Skills:
  • Additional degrees, licenses, or experience a plus
  • Experience in Financial Services or similarly regulated sector
More Information About the Job
Is Relocation Available?
No

Is there a bonus structure?
15%

Are you open to sponsorship?
No

This position is:
Backfill

Is there a possibility to work remote?
No

Is there equity?
No

Are there flexible work hours?
No

Does this position have direct reports?
No

What are the 3-4 non-negotiable requirements on this position?
see Job Description

What are the nice-to-have skills?
see Job Description