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Job ID Number: 1257792145
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Capital Markets |
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| Job Title: |
Private Wealth Management Capital Markets Compliance – AVP/VP |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
The role of the Private Wealth Management (PWM) Capital Markets Officer is to partner with Compliance and other colleagues to:
monitor the PWM Capital Markets business to ensure that it is being conducted and supervised in compliance with applicable laws, regulations and firm policies; help to reduce the firm’s regulatory and reputational risk; liaise with regulators; and reinforce the firm’s culture of compliance.
PRINCIPAL RESPONSIBILITIES
• Review and approve client correspondence and marketing materials
• Conduct daily and periodic account, trade, and other surveillances, and participate in surveillance tools analysis and enhancements
• Conduct review of cross-border trading in structured investments
• Resolve trade errors and trade booking issues
• Resolve client issues and inquiries
• Participate in bi-weekly meetings with Regional Managers
• Communicate regularly with Compliance Management to update on office issues, outstanding open surveillance exceptions, compliance projects, and personnel related issues
• Liaise with Legal department to identify applicable client and regulatory requirements
• Create and conduct compliance training
EXPERIENCE/SKILLS
• Knowledge of complex investment products (e.g., currency strategies, derivatives, hedge funds, structured products)
To apply please submit your resume to Jack Kelly – Jkelly@ComplianceSearch.com
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