Capital Markets Compliance Officer

Partners with leaders in their assigned Line of Business, Risk/ Compliance/ Audit (RCA) Consultants, and other RCA Managers to, depending on the function, oversee the successful creation, implementation, and maintenance of an effective risk management framework. Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Facilitate the identification of gaps and drive solutions that minimize losses resulting from inadequate internal processes, systems, or human errors. Ensures the active identification, response and/or escalation of risks as appropriate. May influence policies and procedures to maximize profit potential and minimize regulatory exposure. Accountable for an effective partnership between the Line of Business and the Lines of Defense. Basic Qualifications- Bachelor's degree, or equivalent work experience- Typically more than 10 years of applicable experience. Preferred Skills/ Experience- Advanced knowledge and exp...Compliance Officer, Capital Markets, Officer, Compliance, Banking, Business Services, Skills