<p>Summary:</p> <p>Â</p> <p>The Investment and Corporate Banking Advisory (âICBAâ)â Americas is responsible for the Advisory function within Investment & Corporate Banking Regulatory Compliance (âICBRCâ), which comprises ICBA and the CMG (âConflicts Management Groupâ). The candidate should have a clear understanding of the activities performed by the following business lines: ÂCoverage, Global Investment Banking (âGIBâ), and Global Financing Division (âGFDâ). 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 Âcontrols, and the execution of some LoD2 Compliance controls.</p> <p>Â</p> <p>Primary Responsibilities</p> <p>ÂÂÂÂÂÂÂÂÂ Provide general advisory services in connection with activities performed by Coverage, GIB and GFD</p> <p>ÂÂÂÂÂÂÂÂÂ 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</p> <p>ÂÂÂÂÂÂÂÂÂ Identify and prioritize regulatory and compliance risks associated with Coverage, GIB & GFD activities.</p> <p>ÂÂÂÂÂÂÂÂÂ 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.</p> <p>ÂÂÂÂÂÂÂÂÂ Partner with other Compliance teams, including CMG, Transversal, Financial Security and Capital Markets Compliance on matters related to Coverage, GIB & GFD activities.</p> <p>ÂÂÂÂÂÂÂÂÂ Assist in analyzing complex situations and provide guidance for these situations.</p> <p>ÂÂÂÂÂÂÂÂÂ Assist in responding to regulatory inquiries, audits, examinations and investigations.</p> <p>ÂÂÂÂÂÂÂÂÂ Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance oversight program is implemented, as applicable.</p> <p>Management and Reporting</p> <p>Â</p> <p>The ICBA Compliance Officer reports directly to the Head of ICBRC in the Americas and the Head of ICBRC in Head Office.Â</p> <p>Â</p> <p>Â</p> <p>Key Internal contacts</p> <p>Â</p> <p>oÂÂÂ Coverage, GIB and GFD business lines;</p> <p>oÂÂÂ Legal department;</p> <p>oÂÂÂ Audit department;</p> <p>oÂÂÂ Risk departments; and</p> <p>oÂÂÂ Operations departments.</p> <p>Â</p> <p>Â</p> <p>Â</p> <p>Key External contacts</p> <p>Â</p> <p>The Firmâs regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC.Â</p> <p>Â</p> <p>FINRA Series SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is required.</p> <p>A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.</p> <p>Â</p> <ul> <li>ÂÂÂÂÂÂÂÂÂ Strong analytical, problem-solving and organizational skills. </li><li>ÂÂÂÂÂÂÂÂÂ Capable of handling multiple, simultaneous and various ad-hoc requests. </li><li>ÂÂÂÂÂÂÂÂÂ Ability to prioritize and work in a dynamic, deadline-focused environment. </li><li>ÂÂÂÂÂÂÂÂÂ Analytical capability: able to break down complex problems into simple manageable units, develops solutions for each unit and integrate them back into the whole. </li><li>ÂÂÂÂÂÂÂÂÂ Strong intellect with consistent application of analytical skills and capacity to translate technical and complex issues for broader audiences in a straightforward manner, articulating the key issues facing the group; ability to get up to speed quickly with complex issues. </li><li>ÂÂÂÂÂÂÂÂÂ Results-oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results. </li></ul> <p>Â</p>