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Equity and Prime Brokerage Compliance Officer

New York City, NY

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Equity and Prime Brokerage Compliance Officer
**MEMBERS ONLY**SIGN UP NOW***. Financial Services

New York
Job #714798274
Your role:
Are you someone who is comfortable acting as a liaison with senior management in the Equities division and functional leaders in compliance, legal, risk, and IT? Do you want to help to provide effective challenge, guidance and advice to senior management? We are looking for someone like that to
– participate in Compliance & Operational Risk coverage for the prime brokerage, equity finance, and stock loan businesses within the global ICS C&ORC team and participate in various global, regional and cross-product Equity Governance Committees as a representative of the C&ORC organization.
– provide subject-matter expertise on rules and regulations pertaining to prime brokerage, equity finance, and stock loan businesses
– support in the design and implementation of the Operational Risk Framework
– draft and review compliance policies and procedures.
– develop and deliver compliance training
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
Take the next step:
Are you truly collaborative? Succeeding at **MEMBERS ONLY**SIGN UP NOW***. means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
Disclaimer / Policy Statements:
**MEMBERS ONLY**SIGN UP NOW***. is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
Your team:
Compliance and Operational Risk Control (C&ORC) is an independent function providing oversight of the Compliance, Conduct and Operational Risks within the firm. The **MEMBERS ONLY**SIGN UP NOW***. C&ORC Compliance team is seeking a talented individual to lead and provide compliance support to the Global Equity division of the Investment Bank.
Your experience and skills:
You have:
– a Bachelor’s degree or higher in Business/Accountancy/Finance/Law or similar field
– a minimum 4 years of experience in Compliance or Regulatory Role or equivalent experience
– knowledge of prime brokerage, equity finance, or stock loan
– excellent written communication skills and competence in portraying complex content in a clear, concise, and compelling manner
– strong business analysis and problem solving skills.
ability to easily to manipulate and analyze broad range of data
You are:
– goal-oriented, a self-motivated leader with strong communication skills and excellent written and verbal communication skills
– well organized and detail orientated
– able to critically verify and challenge processes and documentation with an independent mindset
– proficient user of Word, Excel and PowerPoint and skilled at data analytics
About us:
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
Your colleagues:
Job Reference #:
Business Divisions:
Corporate Center
Equity and Prime Brokerage Compliance Officer
New York
Job Type:
Full Time
Country / State:
United States - New York
Function Category:
Updated 08/11/2018

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