VP Global Markets Compliance Risk Assessments

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 10 Aug 17

Our client, a well regarded global bulge bracket is seeking to add a dynamic VP to cover Global Markets & Corporate Finance to it growing Compliance Risk Assessment team.

Experience Required:

The qualified candidate will ideally possess strong knowledge and solid understanding of SEC, FINRA, and various exchange rules applicable to Bank's US business lines, in particular Global Markets and Corporate Finance; excellent written and verbal communication skills; a strong work ethic and a passion for high performance; strong presentation skills, self-motivation; high energy; excellent interpersonal skills; managerial experience; proficiency with PC applications and aptitude for learning a variety of systems; the highest standards of integrity and ethical judgment; and a minimum of 5-7 years relevant compliance experience in Compliance Risk Assessments or other similar Compliance role. Experience in a complex organization working across multiple office locations is preferred.

Additional qualifications include:


• Bachelor’s degree or higher in related field of study; law degree or CRCM certification desirable;
• Strong time management/project management skills;
• Strong presentation skills, including proficiency with Excel and PowerPoint;
• Ability to work effectively with senior business management and staff within a matrixed organization and engage and provide proactive advice;
• Ability to engage others in open, honest dialogue and directly address conflict when it arises; and
• Ability to manage a team across locations, or to grow into such a management role in a short time.
Compliance Risk Assessment responsibilities include:
• Overseeing and administering production of compliance risk assessments for Global Markets and Corporate Finance. This includes the following:
• Ensuring that the rule inventory for the respective areas is complete, accurate and appropriately mapped to business lines/products, and/or compliance risk categories;
• Analyzing the compliance risk assessment methodology and approach for continuous enhancement opportunities;
• Analyzing applicable business level one controls, including governance, policies and procedures, and training, and proposing areas of enhanced controls where needed;
• Providing guidance and effective challenge to Business Line Compliance and relevant Business Lines in conducting compliance risk assessments;
• Managing compliance risk assessment systems and tools, as well as training users as appropriate;
• Interfacing with other support functions, including, but not limited to: Operational Risk Management (ORM), Group Audit and Legal;
• Working collaboratively with other members of the Compliance Department including, the Global Regulatory Compliance Team, Business Line and Infrastructure Compliance, and Compliance Testing;
• Developing project plans and tracking status of risk assessments throughout their lifecycle to ensure successful and timely completion; and
• Preparing reports and presentations based on results of risk assessments.