VP Capital Markets Compliance VP Capital Markets Compliance …

Hamlyn Williams
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Competitive
Hamlyn Williams
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Competitive
VP Capital Markets Compliance
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 t.byrne@hamlynwilliams.com or 646 349 4411

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