Job Description
An investment bank is looking for a "Senior Manager, CIB & Research Compliance Officer" full-time position with a global bank located in Houston, TX. They're currently on a hybrid schedule of 3 days in office / week.
Job Description:
Provide timely compliance advisory support to covered business areas on a range of topics, including regulatory requirements, information barriers, conflicts of interest (business and personal), cross-border issues, registrations, gifts and entertainment, research, sales and marketing, and supervisory obligations.
Design, maintain, and deliver live compliance training sessions for new hires, annual programs, and ad hoc needs.
Draft and review policies, procedures, and guidelines to ensure alignment with regulatory requirements and industry best practices.
Develop and implement Written Compliance Procedures (WCPs) to monitor adherence to applicable regulations, policies, and procedures.
Monitor and evaluate regulatory and industry developments, assessing their impact and maintaining the Regulatory Obligations Library.
Review new business initiatives to assess compliance implications and ensure appropriate controls are in place.
Conduct quarterly and annual Compliance Risk Assessments and ensure effective remediation plans are developed and executed.
Support compliance testing, internal audits, regulatory examinations, and inquiries related to the covered business areas.
Contribute to the development of compliance-related Management Information (MI), including Key Risk Indicators (KRIs) and statistical reporting for business engagement meetings and oversight committees.
Job Tags
Full time, 3 days per week,
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