IBD Compliance - New York
Location: New York, New York
Description: Russell, Tobin & Associates, LLC is hiring IBD Compliance - New York right now, this job will be reside in New York. For complete informations about this job opportunity please give attention to these descriptions. Our client is looking for an IBD Compliance candidate for their New York office.
Principal areas of business include, financial advisory assignments, financings of equity and long- and short-term debt securities, credit risk management, financing and mergers and acquisitions.
Responsibilities:
- Act as a resource on a daily basis for compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes.
- Ensure that the divisions have appropriate policies and procedures in place.
- Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes.
- Work closely with Legal and the business to fulfill requirements.
- Design, execute and deliver live and online training on divisional policies and procedures.
- Create controls and roll out surveillance for adherence to laws, regulations and firm policies and procedures.
- Design testing and monitoring to review and assess the effectiveness of controls and surveillance.
- Assist investment bankers and Legal in responding to regulatory inquiries.
- Perform risk assessment reviews of business unit for internal risk management and reporting processes.
- Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with investment bankers, are essential attributes of all group members.
- Because the role requires substantive legal analysis and high level delivery, lawyers with transaction, regulatory and/or litigation experience, who can function in a compliance or legal arena, are being sought.
- Each member of the group is expected to have a substantial impact on the business areas that he or she covers and on the shape of the group’s mission and activities.
- Experience in compliance or legal role at an investment bank or a law firm
- Experience with real estate and/or structured finance
- Ability to communicate confidently and effectively with a diverse audience
- Quick learner who can adapt well to a fluid regulatory and business environment
- Organized, detail-oriented, enthusiastic and professional
- Ability to handle multiple tasks simultaneously and work under pressure
- Ability to work independently, but still be a strong team player
- BA/BS required
- JD required
- 4+ years related work experience
- Stability is highly preferred.
- This is a contract position.
RTA2012
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If you were eligible to this job, please deliver us your resume, with salary requirements and a resume to Russell, Tobin & Associates, LLC.
Interested on this job, just click on the Apply button, you will be redirected to the official website
This job will be started on: Wed, 22 Aug 2012 21:11:31 GMT
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