Job Purpose:
The Compliance Department is a dynamic team who protect the firm and partner with Sales, Trading and Investment Banking, to grow the business safely. We are a business enabler, looking to automate and streamline processes whilst ensuring that regulatory and legal requirements are always adhered to.
BTIG seeks a qualified individual to serve as a key collaborator, possessing a comprehensive understanding of regulatory frameworks. Compliance is a well-respected function at BTIG; our frameworks and guidance are robust and commercial. The ideal candidate will be adept at implementing and optimising efficient processes, ensuring the preservation of our core values and the well-being of our team.
Our team has access to and collects a wide range of data to help us identify patterns of risk rising. The ideal candidate will work with integrity; meticulously looking after the accuracy and completeness of the data – whether that be client data, operational risk events, staff information or MNPI.
The Senior Compliance Manager is expected to identify instances of conflicting or absent information, demonstrating the ability to escalate and challenge such discrepancies in a respectful manner. While entering a supportive environment, the role is dynamic and fast-paced, demanding the ability to handle various tasks, ensuring a diverse and ever-changing daily landscape.
Duties & Responsibilities:
- Ensuring compliance with all applicable Anti-Money Laundering & Terrorist Financing (AML/CTF), Know Your Client (KYC), Anti-Bribery and Corruption (ABC), Sanctions laws and regulations.
- Ensure there is effective onboarding / ongoing due diligence processes and supporting systems, including accurate Anti-Financial Crime (AFC) MI is produced regularly.
- Oversee and manage Control Room tasks including PA Dealing, conflicts management, MAR disclosures, wall crossings and watchlists.
- Proactively identify and report compliance and regulatory risks per the OpRisk Framework.
- Manage SMCR controls and reviews including certifications and attestations from staff.
- Running MiFID II product governance systems, including IB new issuances.
- Manage the training programme for the firm, including f2f delivery of bespoke training.
Requirements & Qualifications:
- Experience within the merchant/ wholesale/ investment banking environment.
- Strong and proven AML/CTF/ABC/CFA knowledge and practical implementation.
- Conflicts of interest identification experience and embedding of controls – Control Room.
- Experience of running SMCR controls, including certification and Conduct Rules
- MiFID II product governance requirements
- Organised with a detail orientated mindset.
- Systematic and methodical – task completer.
- Persistent with a ‘can do’ attitude.
Important Notes:
- Must be authorized to work full time in the U.S., BTIG does not offer sponsorship for work visas of any type
- No phone calls please, the applicant will be contacted within two weeks if successful
About BTIG:
BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 725 employees, BTIG, LLC and its affiliates operate out of 20 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities. The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. BTIG is an equal opportunity employer Minorities/Females/People with Disabilities/Protected Veterans/Sexual Orientation/Gender Identity.
Disclaimer: https://www.btig.com/disclaimer.aspx.
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