Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY)

Job description

Overview: Complete Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility. The Compliance Advisor will help develop, implement, and execute strategy of the workflow and performance of personnel to ensure processes are completed in an accurate and timely manner. The Compliance Advisor operates under the firm’s second line of defense independent control function by executing program activities that prevent, detect and mitigate regulatory and compliance risk across the division. Primary Responsibilities: Specific to Posting – Provide Advice, Guidance and Oversight to Organization and 1st Line Business Partners concerning: - Provide compliance oversight, support and guidance for Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations - Analyze and assess risk and control environment and provide relevant SME credible challenge, advice, guidance and oversight in strengthening and developing risk mitigation strategies and necessary controls - Provide SME advice...