Equity Financing Compliance Officer

Compliance Control OfficerOur Client is a Global Investment Bank
This unique opportunity is looking for a specialized compliance professional. Our client needs an experienced Compliance officer to assist the CCO in managing the control environment at a multi national Investment Bank. This is a crucial function of the bank and needs the properly trained and educated person to ensure compliance is met.
Excellent Benefit PackageRef: 1142375
REQUIREMENTS


We are looking for a compliance professional who has 5 plus years at an Investment Bank. Specifically the ideal candidate will have sufficient experience in control environments within a large Investment Bank. NASD experience preferred.

Other Responsibilities include:
Develop and maintain a risk-based program for testing the organizations regulatory controls
Review Policies and Procedures focusing on controls and regulatory laws
Review, test and evaluate the implementation of all group directives
Establish and maintain a testing schedule for laws, regulation and key controls
Develop Compliance Programs fro examining regulatory control