Senior Compliance Analyst- Large Financial Firm
Senior Compliance Analyst- Large Financial Firm Our client is a premier financial services institution that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Duties Businesses Supported: 1. Investment Banking Division (IBD). Principal areas of business include, financial advisory assignments, financings of equity and long- and short-term debt securities, credit risk management, financing and mergers and acquisitions. Organizational Structure and Role: Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with investment bankers, are essential attributes of all group members. Because the role requires substantive legal analysis and high level delivery, lawyers with transaction, regulatory and/or litigation experience, who can function in a compliance or legal arena, are being sought. Each member of the group is expected to have a substantial impact on the business areas that he or she covers and on the shape of the group’s mission and activities. In addition to extensive interactions with investment bankers, group members are expected to work closely with IBD Legal, Conflicts and Business Selection and other Compliance groups throughout the firm. Areas of Coverage: Advice: Act as a resource on a daily basis for compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes. Policies and Procedures: Ensure that the divisions have appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes. Work closely with Legal and the business to fulfill requirements. Training: Design, execute and deliver live and online training on divisional policies and procedures. Controls/Surveillance: Create controls and roll out surveillance for adherence to laws, regulations and firm policies and procedures. Testing/Monitoring: Design testing and monitoring to review and assess the effectiveness of controls and surveillance. Regulatory Matters: Assist investment bankers and Legal in responding to regulatory inquiries. Risk Assessment: Perform risk assessment reviews of business unit for internal risk management and reporting processes. Skills 1. Experience in compliance or legal role at an investment bank or a law firm 2. Experience with real estate and/or structured finance 3. Ability to communicate confidently and effectively with a diverse audience 4. Quick learner who can adapt well to a fluid regulatory and business environment 5. Organized, detail-oriented, enthusiastic and professional 6. Ability to handle multiple tasks simultaneously and work under pressure 7. Ability to work independently, but still be a strong team player 8. JD required 9. 4+ years related work experience 10. Rate- 800/per diem Location- NYC Length- TBD Please forward a Word copy of your resume to firstname.lastname@example.org Tiger Information Systems has been assisting job seekers with their search for Direct Hire and Consulting work for over 25 years. We offer competitive rates, medical benefits, weekly direct deposit and 401K.
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