Attorney in New York City, NY

In-House

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

Min 5 yrs required

No

Job Title: Compliance Officer - Markets Business Line Advisory Compliance
Experience: 5+ years in financial industry, preferably in a global investment bank or law firm
Salary: $90,000 - $165,000/year

Department: Compliance
Location: New York, United States of America

Overview:
As a Compliance Officer in the Markets Business Line Advisory Compliance team, you will play a critical role in providing real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business. Your responsibilities will include monitoring and identifying regulatory trends and developments, advising staff on compliance issues, and implementing a comprehensive and sustainable compliance framework to ensure the bank's compliance with regulations and internal policies.

Key Responsibilities:
• Provide real-time advisory services to the fixed income sales and trading businesses
• Monitor and identify regulatory trends and developments
• Advise staff on compliance issues related to markets sales and trading activities
• Draft, update, and implement relevant policies and procedures
• Conduct regulatory/compliance training
• Assist in implementing and documenting supervisory/control mechanisms
• Participate in internal investigations and respond to regulatory inquiries
• Coordinate internal/external audits and inspections
• Interact with federal and state regulators
• Identify risks and participate in annual risk assessments
• Develop relationships with key stakeholders within the bank
• Ensure a consistent and common approach to compliance with policies and procedures
• Oversee US Treasury auction process to ensure compliance with reporting and disclosure requirements
• Prepare reports for top management and assist in the preparation of management information reporting and governance materials
• Ensure timely regulatory filings and certifications

Qualifications:
• Bachelor's Degree or equivalent; JD or MBA a plus
• 5+ years of relevant experience in securities, preferably in a global investment bank or law firm
• Experience in providing regulatory or compliance advice in connection with markets sales and trading activities
• Functional knowledge of the US Fixed Income trading/regulatory framework
• Strong analytical, written, and verbal communication skills
• Ability to effectively influence others and engage senior stakeholders
• Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressure environment
• Action-oriented and delivery-focused with a disciplined approach
• Ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy
• Ability to project confidence and professionalism in dealing with senior business personnel

Work Environment:
• Frequent minimal physical effort such as sitting, standing, and walking
• Occasional moving and lifting equipment and furniture
• Physically capable of lifting up to fifty pounds and able to bend, kneel, and climb ladders

Employer Rights:
• This job description does not list all job duties
• You may be asked by your supervisors or managers to perform other duties
• You may be evaluated in part based on your performance of the tasks listed in this job description
• The employer has the right to revise this job description at any time
• This job description is not a contract for employment and can be terminated by either party at any time for any reason

Santander is an equal opportunity employer and values diversity in its workforce. We actively encourage everyone to apply and provide equal employment opportunities without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristics protected by law.

Conclusion:
As a Compliance Officer in the Markets Business Line Advisory Compliance team, you will have the opportunity to work in a fast-paced and dynamic environment, providing real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business. With competitive salary and benefits, this role offers the chance to make a significant impact in ensuring the bank's compliance with regulations and internal policies. Apply now and join our team at Santander US Capital Markets LLC.