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The role is part of the Americas Corporate Finance Compliance providing real-time support to the Corporate Finance Coverage Bankers as well as Capital Markets Origination and Syndicate Desks.
Responsibilities include providing day-to-day advice on issues related to confidential information and information barriers, communications with the public-side of the firm and external public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision, policies, procedures, rules/laws, and interpretation on internal policies and procedures.
Company Corporate Finance Compliance is seeking to hire a highly motivated professional to provide compliance oversight for the Capital Markets Businesses.
What We Offer You:
We offer competitive health and wellness benefits, empowering you to value life in and out of the office
Retirement Savings Plans, Parental Leave, and other family-friendly programs
On-site cafeteria, health center, and communal meeting areas
Active engagement with the local community through Company’s specialized employee groups
Hear from our people and look inside our office: DB@The Muse
Your Key Responsibilities:
Work with a team to provide coverage for the business
Provide day-to-day advice on issues related to confidential information and information barriers, communications with the public-side of the firm and external public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision, policies, procedures, rules/laws
Work closely with Compliance Officers globally to develop a cohesive approach to the business
Execute all aspects of the Compliance Program: Policies; Training; Risk Assessment; Advisory; Investigations/Reviews
Review New Products and Participate in Business and Compliance related governance as required
Support Compliance Testing; Group Audit and Regulatory Examinations
Your Skills and Experience:
Experience providing compliance, legal or audit coverage for a U.S. lending business with cross border experience is a plus
Knowledge of SEC, FINRA and FED Rules and Regulations
A background on compliance related risks particularly: suitability/appropriateness/sales practice; information barriers; client confidentiality
Ability to analyze complex financing transactions and assess an array of compliance considerations including information barriers, suitability and cross border risks
Ability to provide real-time guidance to the business on compliance matters including regulatory requirements and control solutions
How You’ll Lead:
Ability to identify and escalate relationships or transactions that pose reputational risk to Company
Ability to work independently and at the same time collaboratively with other compliance officers and control partners within the Americas region and on a global basis
Ability to make, support and defend difficult and complex regulatory and/or compliance decisions in a fast-paced environment
Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Click here to find out more about diversity and inclusion.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: "EEO is the Law poster" and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.
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