Central Compliance, Vice President- Corporate & Investment Banking

The Central Compliance VP Monitors activities to minimize the company's exposure to risk. Activities may include data analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. More specifically, this role will provide Compliance advisory and operational support for Licensing and Registration and Employee Compliance (including but not limited to Code of Conduct, Personal Account Dealing, Outside Business Activities Gifts & Entertainment, Political Contributions, SEC Rule 15a-6 related certifications, Continuing Education. Essential Functions/Responsibility Statements: Primarily responsible for executing compliance processes and controls for initiating, maintaining, and updating SEC, CFTC, FINRA, NFA related registrations and filings for the Firm and associated persons including Forms U4/U5, Form BD, Form BR, Form 7R, and assists in the completion of associated requirements. Provides support for carrying out additional compliance functions related to: employee pre-clearance requests including, but not limited to, personal trading, gifts & entertainment, outside business activities, political contributions new hire onboarding, employee attestations, SEC Rule 15a-6 related certifications. Provides guidance and responds to employee queries regarding Licensing and Registration and other Employee Compliance matters. Undertakes standard reviews, creates/maintains compliance metrics, as needed, and escalates to senior staff where non-compliance is identified. Assists in updating Compliance processes and manuals. Conducts training of new hires and current staff and provides guidance to employees on compliance policies. Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance. Evaluates controls in place to ensure continuous compliance measures with laws, regulations and policies affecting the organization, recommends process improvements to management. Collaborates with team on projects and program tasks intended to improve compliance and enhance the control environment. Keeps current on existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and works with team to implement procedures to meet these requirements. Validates controls or project plans to ensure compliance with laws, rules and regulations.