AVP - Markets Compliance Officer - Control Room at RABOBANK in New York, NY
Job Overview/Purpose:
This position exists to meet regulatory and firm requirements to manage potential conflicts of interest. The Control Room Compliance Officer is responsible for day-to-day management related to potential conflicts of interest, with a particular focus on CAFE-related disclosures of outside interests, alternative investments, and gifts and entertainment. They are also responsible to managing all aspects of compliance with the Bank's mandatory absence process. This roll covers all employees within Rabo Diversified Services (RDS), Rabo Securities USA, Inc. (RSI), as well as Rabobank Wholesale and Rural (WRNA). Job Requirements:
BA or relevant work experience; Series 7, 24, or 79 preferred and must not have any disciplinary history with FINRA or any other regulatory authority; 3 - 5 years of experience within Banking or SEC/FINRA broker-dealer framework also preferred with an emphasis on 1) Control Room activities, including; conflicts monitoring, conflicts management, wall crossings, watch and restricted list management, and 2) subject matter expertise related to the development and management of related policies and procedures. From a product perspective, the ideal candidate will possess a general background in equities, fixed income, mergers and acquisitions, acquisition and project financing, and other capital markets activities (including, securitization and loan syndication). Working knowledge of SEC Rule 15a-6 and product knowledge in derivatives instruments would be a distinct advantage. Key Responsibilities and Accountabilities:
Responsible to administer all facets of the Control Room functions for RDS, RSI and WRNA activities and with a focus on Outside Interests, Alternative Investments, Gifts & Entertainment and Mandatory Absence. Work with new, existing and departing employees to identify and effectively manage any personal or professional conflicts. Develop and review daily reports of activities and/or exceptions and monitor communications systems to identify conflicts and help ensure compliance with local policies and regulations. Enhance the Watch List and Restricted List processes by working closely with global compliance colleagues and local Branch offices to ensure, among other things, timely entry of potential opportunities to internal system(s) and providing timely advice as needed with regard to requirements under firm policies. Maintain and enforce procedures designed to prevent and detect the misuse of material non-public information at the Firm. Provide timely information barrier advise and training and education as needed. Identify and escalate potential reputational issues, pre-empting and preventing compliance breaches where possible. Assist in development, implementation, and maintenance of Control Room-related policies and procedures. As workload permits, work with other compliance staff on ad-hoc projects, including, but not limited to regulatory exams, internal/external audits (including remediation) and regulatory change management efforts. Job Skills and Knowledge:
Essential:
Strong analytical, communication and decision-making skills. Ability to work independently. Excellent written and oral communication skills. Good interpersonal skills in order to establish a rapport with internal and external parties. Thorough knowledge of applicable laws and regulations. Ability to read, analyze and interpret governmental regulations and regulatory issuances. Ability to analyze complex issues and provide sound judgement in decision making process. Must be well organized with the ability to manage multiple tasks. Experience interfacing with regulators in US and Europe, as/if needed and Internal Audit. Experience interfacing with all levels of management of the organization
Qualifications:
Essential:
3 - 5 years of regulatory compliance experience Ability to understand and apply regulations applicable to the Control Room function Being time conscious when it comes to deliverables Strong Microsoft Suite skills, especially Excel, Word, and Outlook
Salary Range:
$100K -- $150K
Minimum Qualification
Auditing & ComplianceEstimated Salary: $20 to $28 per hour based on qualifications.
This position exists to meet regulatory and firm requirements to manage potential conflicts of interest. The Control Room Compliance Officer is responsible for day-to-day management related to potential conflicts of interest, with a particular focus on CAFE-related disclosures of outside interests, alternative investments, and gifts and entertainment. They are also responsible to managing all aspects of compliance with the Bank's mandatory absence process. This roll covers all employees within Rabo Diversified Services (RDS), Rabo Securities USA, Inc. (RSI), as well as Rabobank Wholesale and Rural (WRNA). Job Requirements:
BA or relevant work experience; Series 7, 24, or 79 preferred and must not have any disciplinary history with FINRA or any other regulatory authority; 3 - 5 years of experience within Banking or SEC/FINRA broker-dealer framework also preferred with an emphasis on 1) Control Room activities, including; conflicts monitoring, conflicts management, wall crossings, watch and restricted list management, and 2) subject matter expertise related to the development and management of related policies and procedures. From a product perspective, the ideal candidate will possess a general background in equities, fixed income, mergers and acquisitions, acquisition and project financing, and other capital markets activities (including, securitization and loan syndication). Working knowledge of SEC Rule 15a-6 and product knowledge in derivatives instruments would be a distinct advantage. Key Responsibilities and Accountabilities:
Responsible to administer all facets of the Control Room functions for RDS, RSI and WRNA activities and with a focus on Outside Interests, Alternative Investments, Gifts & Entertainment and Mandatory Absence. Work with new, existing and departing employees to identify and effectively manage any personal or professional conflicts. Develop and review daily reports of activities and/or exceptions and monitor communications systems to identify conflicts and help ensure compliance with local policies and regulations. Enhance the Watch List and Restricted List processes by working closely with global compliance colleagues and local Branch offices to ensure, among other things, timely entry of potential opportunities to internal system(s) and providing timely advice as needed with regard to requirements under firm policies. Maintain and enforce procedures designed to prevent and detect the misuse of material non-public information at the Firm. Provide timely information barrier advise and training and education as needed. Identify and escalate potential reputational issues, pre-empting and preventing compliance breaches where possible. Assist in development, implementation, and maintenance of Control Room-related policies and procedures. As workload permits, work with other compliance staff on ad-hoc projects, including, but not limited to regulatory exams, internal/external audits (including remediation) and regulatory change management efforts. Job Skills and Knowledge:
Essential:
Strong analytical, communication and decision-making skills. Ability to work independently. Excellent written and oral communication skills. Good interpersonal skills in order to establish a rapport with internal and external parties. Thorough knowledge of applicable laws and regulations. Ability to read, analyze and interpret governmental regulations and regulatory issuances. Ability to analyze complex issues and provide sound judgement in decision making process. Must be well organized with the ability to manage multiple tasks. Experience interfacing with regulators in US and Europe, as/if needed and Internal Audit. Experience interfacing with all levels of management of the organization
Qualifications:
Essential:
3 - 5 years of regulatory compliance experience Ability to understand and apply regulations applicable to the Control Room function Being time conscious when it comes to deliverables Strong Microsoft Suite skills, especially Excel, Word, and Outlook
Salary Range:
$100K -- $150K
Minimum Qualification
Auditing & ComplianceEstimated Salary: $20 to $28 per hour based on qualifications.
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