Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Job Summary & Responsibilities
US Market Solutions Group (MSG) Compliance is part of the Global PWM Compliance team, the role is based in New York and will have a particular focus on capital markets and complex products offering (including derivatives, structured products, new issues, co-investments). Responsibilities will include providing product related compliance advice, monitoring, product/trade approvals and project management. The role will report into the US Head of MSG Compliance.
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