Global Markets & IB Compliance Executive - 0900039...

Description

Manage Regulatory Examination team:

Manage team of Compliance professionals who coordinate regulatory examinations, meetings and other interactions by the securities and banking regulators of the various Bank of America entities. Establish and enhance global protocols with respect to reviewing and providing documents responsive to regulatory requests, coordinate meetings with associates and regulators, coordinate with LOB and other support partners, follow-up on various matters and document requests. Respond to regulatory exam results and make sure matters raised have been addressed. Additionally, the job requires the associate to have an understanding of the regulatory framework and to stay current on the relevant regulations. Supervise examination issue tracking database.



Chair US Broker/Dealer NYSE Rule 351(a) Committee:

Chair and administer the Committee that reviews certain issues and determine whether under Rule 351(a) there have been possible violations of US broker-dealer rules that have to be reported to FINRA. The Committee which meets regularly is made up of Legal and Compliance associates from the various US broker-dealers.



Liaison to Enterprise Compliance:

Act as primary interface with various Enterprise Compliance groups such as Registration and Licensing, among others, to facilitate consistent approach to addressing issues that impact the LOBs.




 

Qualifications
10- 15 years of Compliance experience at a broker-dealer/financial institution and/or regulatory organization.

Securities licenses 7, 24, 14 preferred.

Bachelors degree and preferably law degree.

Strong organizational and writing skills.

Microsoft Office, Word, Excel, and Access preferable