Chief Compliance Officer
5 days ago
Larson Maddox is seeking a seasoned Ideal Candidate to oversee compliance for the Investment Banking Division. The successful candidate will possess extensive experience in IBD product knowledge or control room operations, enabling them to work closely with the business team on compliance advisory.
Key Responsibilities:
- Compliance Oversight: Ensure adherence to regulatory requirements and internal policies for the Investment Banking Division.
- Guidance and Support: Provide expert guidance on compliance matters related to IBD products and services.
- Control Room Operations: Manage control room operations, including monitoring and managing information barriers.
- Compliance Reviews: Conduct regular compliance reviews and risk assessments of IBD activities.
- Policies and Procedures: Develop and implement compliance policies and procedures.
- Collaboration: Collaborate with various departments to address compliance issues and implement corrective actions.
- Reporting: Prepare and present compliance reports to senior management.
Requirements:
- Experience: Minimum 7 years of experience in IBD compliance, product knowledge, or control room operations.
- Regulatory Knowledge: Strong understanding of regulatory requirements and compliance frameworks related to investment banking.
- Analytical Skills: Excellent analytical and problem-solving skills.
- Communication: Ability to work independently and as part of a team, with strong communication and interpersonal skills.
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