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 · Provide general advisory services in connection with activities performed by Coverage, GIB and GFD · Provide advice and regulatory guidance to the private side of the bank and to the public side regarding control room-related issues, in coordination with the CMG if/when necessary · Identify and prioritize regulatory and compliance risks associated with Coverage, GIB & GFD activities. · Maintain and update the applicable policies and procedures to ensure they are in agreement with Global policies & procedures as well as US laws and regulations concerning the topic. · Partner with other Compliance teams, including CMG, Transversal, Financial Security and Capital Markets Compliance on matters related to Coverage, GIB & GFD activities. · Assist in analyzing complex situations and provide guidance for these situations. · Assist in responding to regulatory inquiries, audits, examinations and investigations. · Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance oversight program is implemented, as applicable. 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 o Coverage, GIB and GFD business lines o Legal department o Audit department o Risk departments and o Operations departments. Key External contacts The Firm's regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC. 6-10 years of experience in the banking industry in working in the areas of coverage, investment banking and financing activities advisory and/or control room. Experience with international, cross-border topics related to the financial industry. Experience in dealing with U.S. financial industry regulators. Bachelor Degree Graduate Degree or Law Degree preferred
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