Banking Capital Markets Specialist
5 days ago
**Job Description:**
A Banking Capital Markets Compliance Officer ensures that operations adhere to all contractual and regulatory requirements regarding financial transactions, procedures, processes, and operations are compliant with relevant laws, internal policies, and industry best practices.
This role is primarily responsible for ensuring risk & compliance to Operational / Process Controls, Service Delivery, Fraud Risk Assessment, Client Contracts, and Organizational Policies and Procedures in the client area.
- Provide support and guidance to operations during internal/external audits.
- Act as an independent reviewer and evaluation body to ensure that compliance issues/concerns within the client area are being appropriately evaluated, investigated, and resolved.
- Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for the resolution of problematic issues and provide general guidelines on how to avoid or deal with similar situations.
- Provide reports on a regular basis, and as directed or requested, to keep senior management informed of the operations and progress of compliance efforts.
- Educate and train employees on compliance guidelines.
Skills Required:
Bachelor's degree in banking and finance, law, business administration, or a related field (a master's degree is a plus), 5-7 years of experience as a Compliance Officer mainly in the Banking industry, and excellent communication and analytical skills.
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