Your primary responsibilities will include reviewing and enhancing the control environment and including appropriate amendments to existing and development of new policies, procedures, training and monitoring program related to the firm’s SPAC and de-SPAC activities in collaboration with the business professionals and management and related control functions, including Legal, Conflicts Office, Reputational Risk team and other core compliance functions (FCC and Control Room). Other project work within the Capital Markets & Advisory Compliance team directive will also be expected and encouraged as we expand our depth of coverage and expertise.
- Collaborate with capital markets and investment banking professionals, including management and Compliance leadership to implement policies, procedures and guidance related to effective controls and regulatory requirements while considering other potential risks.
- Coordination across control partners (including Legal, Control Room, Risk officers, Reputational Risk and Compliance partners and managers) essential for consistency and visibility.
- Developing and implementing compliance policies, procedures and compliance mentorship and providing compliance training as appropriate. Strong coordination with senior equity Capital Markets Compliance coverage is essential to ensure consistence, as appropriate across other capital markets products.
- Engagement in new projects, initiatives and regulatory changes.
- Assisting with internal and external inquiries and in the development of monitoring activities and participation in general initiatives across the coverage area, including the annual Compliance Risk Assessment and implementation of Annual Compliance planning and execution of same.
Your future colleagues
You will join Capital Markets & Advisory (“CM&A”) Compliance team to help build and provide primary compliance coverage for the private side Capital Markets business within CM&A, with primary focus on policies and controls related to the firm’s SPAC and de-SPAC business activities. Opportunity to cross-train with Equity Compliance advisory coverage for depth of knowledge and leveraging of team bench. We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values
Equal Opportunity Employer!
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