Summary:
The Investment and Corporate Banking Advisory (“ICBA”)– Americas is responsible for the Advisory function within Investment & Corporate Banking Regulatory Compliance (“ICBRC”), which comprises ICBA and the CMG (“Conflicts Management Group”). The candidate should have a clear understanding of the activities performed by the following business lines: Coverage, Global Investment Banking (“GIB”), and Global Financing Division (“GFD”). The focus of the role will be on advisory primarily to the various private side businesses in close coordination with the CMG, reporting, monitoring LoD1 Compliance controls, and the execution of some LoD2 Compliance controls.
Primary Responsibilities
Management and Reporting
The ICBA Compliance Officer reports directly to the Head of ICBRC in the Americas and the Head of ICBRC in Head Office
Key Internal contacts
Key External contacts
The Firm’s regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC.
Qualifications/Education Required:
Experience Required:
Approved Person Registration
Competencies Required:
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.
Skills & Knowledge Requirements
Major Responsibilities: - Ensure onboard devices are communicating - Working with other departments and locations for device repairs - Surface any device issues to supervisors - Resolve device issues or discrepancies - Measure partner connectivity performance ...
...an education recruitment firm, is currently seeking a Latin & Spanish Teacher for the 2025-2026 school year at an independent school... ...plans and curricula based on the needs of individual students. Teaching multiple sections of both Spanish and Latin. Teaching...
...in. As the Chief Engineer, you will lead all engineering and maintenance operations to ensure an exceptional guest and associate experience... ...Youll Do Oversee all engineering operations, including building maintenance, mechanical systems, and energy management....
...$22 $30/hour Summary: Join our growing team as a Remote Call Center Representative and enjoy the flexibility of working from home. In this role, youll provide first-line support by addressing common customer concerns, assisting with account management tasks...
Birdie Books, a thriving independent bookstore and caf in Westerville, Ohio, is looking for a dynamic Bookstore Manager to join our team. As a cornerstone of the community, we take pride in offering a warm, inclusive space where everyone feels at home.Were seeking a...