Product Risk Manager/Equities Compliance - (US-NY-New York)

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  From Jeff Altman: The Big Game Hunter

Product Risk Manager/Equities Compliance - (US-NY-New York)

Compensation: $140K - $160K / Year
Min Education: Masters
Job Type: Full Time
Jobcode: 194363IJA

Experience Required : 5 - 10 years
Degree Required : 4 Year Degree
Travel Required : 0-10%
PAID RELOCATION AVAILABLE
This position is located in New York City and will report directly to the Head of CIB Equity Compliance. Responsible for identifying and managing compliance risks as well as developing processes to mitigate regulatory, legal and reputational risk across the Equity division of CIB Setting Strategic direction for oversight of compliance related risks. Establishing training to address new rules, regulations, policies or other compliance related areas Identifying and make recommendations to resolve systemic risk. Responding to regulatory inquiries Managing internal audits and regulatory exams Resolving real-time compliance issues Drafting compliance policies and procedures Participating in management meetings and committees with Sr. Management to establish compliance and risk policies and procedures Participating on Executive Steering committee to direct and design the policy, process and implementation of cross-functional, corporate wide initiatives Developing program(s) to ensure compliance with all applicable rules, regulations, banking and securities laws Presenting our program(s) to regulators to mitigate risks Ensuring that resources are aligned with strategic priorities Actively lead efforts to recruit, develop, evaluate, and maintain staff. Leading Project Management initiatives Accountable for Regulatory Risk oversight across multiple product areas May develop and influence relationships with Senior Management.

Candidate Must Have :
* Advanced presentation skills Superior oral and written communication skills Demonstrated project management skills Strong interpersonal and conflict management skills
* Expert knowledge of SEC, NYSE, NASD and other equity related rules and regulation Experience handling equity and equity linked product compliance issues
* Effective written and verbal communication skills Ability to partner with business and other support groups to manage and complete projects Strong organizational and project management skills
* Minimum 5-7 years experience at a broker/dealer or regulatory organization Four year college degree, JD preferred but not required Series 7 and 24 preferred but not required
* Preferred: Graduate degree or equivalent experience Minimum of 3 –5 years of management experienceMon - Fri, 8:00am - 5:00pm

Derivatives experience is a plus, looking for solid writing skills and compliance knowledge, candidate must have very strong Equities compliance background.

Email resume in Word to thebiggamehunter@cisny.com. Please include the job code for the position with your resume.

NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES.

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