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 firstname.lastname@example.org or 646 349 4411