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MORE ABOUT THIS JOB
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 reputational risk associated with a variety of matters; monitors for compliance with existing and new 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.
Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees’ outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees’ personal trading activities. Within GCES, the Disclosures team coordinates the global evaluation of potential regulatory filings, evaluates employee disclosures, and assists in preparing regulatory filings relating to reportable employee disclosures.
RESPONSIBILITIES AND QUALIFICATIONS
With legal and compliance professionals, evaluate regulatory disclosure requirements and assist in making regulatory filings
Work with employees to evaluate employee disclosures
Assign and coordinate the global review of potentially reportable developments
Provide guidance to internal clients on the appropriate interpretation and application of firm policies and procedures
Support the registrations function of GCES
Ensure that the firm’s licensed professionals make required disclosures
Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers
Two years of compliance or legal-related experience preferred
Financial services experience desirable
Superior analytical, organizational, and project management skills
General understanding of the current regulatory environment and financial markets and/or securities regulations and rules
Ability to work as a member of a team in a high-pressure, fast-paced environment
Excellent verbal and written communication skills
Ability to multi-task
Strong proficiency in Microsoft Excel, Power Point and Word a plus
The Company Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.