CA CIB Americas
CA CIB Americas
The Compliance Generalist is responsible for assisting the Compliance Department in the development, implementation, monitoring, and testing of the company's compliance program to ensure that the rules, policies and regulations are followed properly.
- Assist in the organization and execution of ad hoc projects aimed at implementing new regulatory requirements often under tight deadlines, including researching rules and developing presentations to be delivered to management.
- Write Compliance Policies and Procedures.
- Perform routine surveillance, including email surveillance, to ensure compliance with applicable regulations.
- Identify and recommend necessary changes to written supervisory procedures to address compliance gaps and/or improve adherence to regulatory or policy requirements.
- Research and respond to regulatory inquiries.
- Assist in preparing for and coordinating internal audit and regulatory exams, including trade data analysis and organizing in a presentable format.
Management and Reporting
The Compliance Generalist reports directly to the Head of Capital Markets Compliance in the Americas and ultimately to the Regional Compliance Officer for the Americas.
Key Internal contacts
o Legal department
o Audit department
o Risk departments
o Human Resources department
o Operations departments
o Information Technology departments.
Key External contacts
The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC.
1-2 years prior US compliance experience, including interaction with US regulators (desirable)