Securitized Product Business Oversight Compliance - VP

About the role

Join us as a Securitized Product Business Oversight Compliance - VP, where you’ll provide expert oversight and ensure adherence to legal, regulatory, and firm-wide compliance standards. In this role, you’ll assess and challenge securitized product activities, including trading, structuring, and origination, while helping to identify and mitigate risks. You’ll work closely with business and control partners, applying strong knowledge of U.S. securities regulations (FINRA/SEC) and market structures.

Responsibilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems.
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Requirements

• Understanding of US Laws, Rules and Regulations related to securities (FINRA/SEC), derivatives (CFTC) and loans
• Identifying and assessing compliance risks specific to the securitized product distribution, trading, structuring, and origination activities
• Understanding of market structure for securitized products
• Working productively within a global Compliance team
• Providing support to members of the Business and Controls Partners on compliance risk related issues

Qualifications

• Attention to detail and problem-solving mindset
• Ability to multitask in a fast-paced environment
• Excellent verbal and written communication skills

Skills

• Attention to detail and problem-solving mindset
• Ability to multitask in a fast-paced environment
• Excellent verbal and written communication skills

Benefits

This role is located in New York.

Pay

Minimum Salary: $145,000
Maximum Salary: $200,000

Schedule

The role is full-time.