Global Capital Markets Americas - Syndicate Compliance Coverage
Location: New York, New York
Type: Full Time
Internal Number: 3217921
GCM Compliance provides real time advice to the business unit and monitors business activities for adherence to both Firm and regulatory requirements. The team monitors new rules and regulations and industry standards and helps maintain written policies and procedures. We devise an annual compliance program and conduct and coordinate monitoring, testing, and training for the business unit.
The role will focus on providing Compliance coverage to the Americas Capital Markets syndicate desks, including the syndicate desks for Equity Capital Markets, Fixed Income Capital Markets, and Leveraged Finance, and other desks within GCM that conduct syndicate activity. Primary areas of focus will include communications between GCM and issuers/sellers, buyside investors, and Sales & Trading, respectively; allocation practices; the book-building process, and interactions among banks in a syndicate. The Compliance Coverage Officer will work closely with other members of the Americas GCM Compliance Coverage team, Syndicate Operations, first line control functions including GCM Business Unit Risk and Non-Financial Risk Management, and GCM Management. This role will sit with the Americas GCM syndicate desks.
Provide real time advice to business on various regulatory and policy matters
Actively monitor regulatory developments and trends, and coordinate with the business unit to comply with new or amended regulations
Design and deliver applicable training for business unit personnel, infrastructure personnel and supervisors, as appropriate
Draft and maintain Compliance policies and procedures and notices,
Bachelor’s degree required, JD a plus but not required
Minimum eight to ten years of compliance or equivalent experience, preferably supporting Global Capital Markets
Strong written and oral communication skills with ability to effectively communicate with business professionals, risk managers and supervisors
Strong analytical skills, well organized, energetic, and able to juggle multiple projects and assignments
Team player who works well with others at all levels
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