CA CIB Americas

Investment banking


Junior compliance generalist

12 September United States, NEW YORK Perm


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.
This person will also be responsible for assisting the Registration Manager in maintaining firm and employee registrations as required by Federal, State and SRO regulations.

Key Responsibilities

Assist the Registration Manager in handling new hire and termination compliance checklists for both CAS-USA and CA-CIB.
Including filing of all Form U4s, U5s, BDs, BRs, and NRFs.

Assist in handling Regulatory Element of Continuing Education.

Act as liaison with the various states and SROs on firm and individual registration matters.

Handle queries and system updates for Outside Business Activity, Private Securities Transactions, and Gifts.

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.

Qualifications/Education Required:

Bachelor's Degree

Experience Required:

Specialist Training Required:

Series 7 and 24 (or ability to obtain within the first year of employment).

Approved Person Registration:


Competencies Required:

Sound judgment, ability to work in a team.
Strong written and oral communication skills.

Ability to interact with senior management.

Ability to handle sensitive information with discretion.

Skills & Knowledge Requirements:

Working knowledge of all Securities Products.
Proficient in Microsoft Office.