Private Wealth Mgt Capital Markets Compliance - AV...

The role of the Private Wealth Management (PWM) Capital Markets Officer is to partner with Compliance and other colleagues to:

monitor the PWM Capital Markets business to ensure that it is being conducted and supervised in compliance with applicable laws, regulations and firm policies; help to reduce the firm’s regulatory and reputational risk; liaise with regulators; and reinforce the firm’s culture of compliance.

PRINCIPAL RESPONSIBILITIES
• Review and approve client correspondence and marketing materials
• Conduct daily and periodic account, trade, and other surveillances, and participate in surveillance tools analysis and enhancements
• Conduct review of cross-border trading in structured investments
• Resolve trade errors and trade booking issues
• Resolve client issues and inquiries
• Participate in bi-weekly meetings with Regional Managers
• Communicate regularly with Compliance Management to update on office issues, outstanding open surveillance exceptions, compliance projects, and personnel related issues
• Liaise with Legal department to identify applicable client and regulatory requirements
• Create and conduct compliance training

EXPERIENCE/SKILLS
• Knowledge of complex investment products (e.g., currency strategies, derivatives, hedge funds, structured products)