Director, Compliance Advisory, Debt Capital Markets, US/Americas

Key Responsibilities

• Serve as part of an independent second-line risk control function, providing specialist compliance, conduct and financial crime risk advice, oversight and constructive challenge across Debt Capital Markets and Global Banking activities.
• Assess the effectiveness of the Bank’s CFCR risk frameworks and support the execution of relevant Principal Risk Type Frameworks in a manner proportionate to the nature, scale and complexity of the business.
• Provide day-to-day Compliance advisory coverage for Global Banking, including support for new business initiatives, product governance, bespoke projects, remedial activities and transactional matters.
• Advise business stakeholders on applicable laws, regulations, regulatory expectations and internal standards, helping ensure business is conducted ethically, responsibly and within risk appetite.
• Identify, assess and escalate material risks, regulatory breaches or issues where Bank or broker-dealer risk tolerances may be exceeded, ensuring timely action and appropriate governance oversight.
• Build effective relationships with senior business leaders, CFCR colleagues, functional partners and other key stakeholders, providing timely, practical and commercially aware guidance.
• Support the management of regulatory relationships and contribute to regulatory engagement, governance forums, management reporting and risk committee materials as required.
• Develop, maintain and enhance compliance policies, procedures, desk instructions, training materials and related controls to reflect regulatory requirements, internal standards and industry best practices.
• Monitor regulatory developments, emerging risks and market practices, translating changes into practical guidance and effective implementation plans for relevant business areas.
• Support compliance monitoring, surveillance, assurance activities and risk assessments, including Compliance Risk Assessments, Financial Crime Risk Assessments and Product Risk Assessments.

Qualifications

• Bachelor’s degree from an accredited institution, or equivalent professional experience.
• Advanced degree, such as an MBA, J.D. or equivalent qualification, will be viewed positively.
• Strong knowledge of U.S. banking regulations and relevant industry best practices.
• Ability to understand and explain complex and evolving securities regulations and supervision requirements, including FINRA Rule 3110.
• Ability to evaluate regulatory and reputational risks associated with underwriting debt issuances and complex credit issuances.
• Knowledge of risk identification, risk assessment, and controls development.
• Strong interpersonal and communication skills, with multicultural awareness and sensitivity.
• Strong project management and organizational skills.
• Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality.
• Ability to collaborate and work effectively across multiple countries and regions with business and functional stakeholders.
• Series 7 and Series 24 licenses preferred.
• ACAMS certification, or equivalent certification, strongly preferred.

Experience we look for

• Minimum of 8+ years of experience in a financial crime compliance role within the financial services or banking industry.
• Strong experience, including 5+ years, advising on applicable FINRA and SEC securities regulations.
• Strong experience, including 5+ years, with debt capital markets products, specifically underwriting debt issuances, credit trading, repos, and trading agencies, including Fannie Mae and Freddie Mac debt instruments.
• Experience in broker-dealer supervision, including training, certifications, and monitoring.
• Experience updating and implementing a Continuing Membership Application (“CMA”) and Form BD.