Our client, a leading global investment bank is looking for a senior compliance/legal professional to join their global compliance team. The right candidate will have a chance to work closely and gain exposure with global teams and senior managers of compliance and IBD/private equity businesses.

Principal Responsibilities:
– Advice: Act as a resource on a daily basis for compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes
– Risk Management: Work closely with IBD / private equity division leadership to manage compliance and reputational risks that arise from these businesses. You will have the focus of senior management, solid institutional support and a high profile within the divisional population
– Policies and Procedures: Ensure that the divisions have appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory changes, other external changes and business changes. Work closely with Legal and the business to fulfill requirements
– Training: Design, execute and deliver live and online training on compliance policies and procedures
– Controls/Surveillance: Create controls and help implement surveillance to ensure adherence to laws, regulations and firm policies and procedures
– Testing/Monitoring: Design testing and monitoring procedures to review and assess the effectiveness of controls and surveillance
– Regulatory Matters: Assist bankers and the legal department in responding to regulatory inquiries and audits. Participate in the firm’s responses to regulatory changes relevant to the IBD / private equity businesses, including regulatory dialogues and implementing changes policies and procedure to comply with regulatory changes
– Risk Assessment: Perform risk assessment reviews of the businesses for internal risk management and reporting processes

Basic Qualifications:
– Bachelor’s degree
– At least 8-10 years of related work experience from an investment bank or law firm in a legal or compliance role

Preferred Qualifications:
– Legal background ideally as a transaction lawyer having worked on Asia deals would be preferred
– Ability to communicate confidently and effectively with a diverse audience
– Quick learner who can adapt well to a fluid regulatory and business environment
– Organized, detail-oriented, enthusiastic and professional
– Ability to handle multiple tasks simultaneously and work under pressure
– Ability to work independently, but still be a strong team player across all levels, functions and geographical locations
– Substantial initiative, creativity and drive are essential attributes