Compliance, Private Wealth Management, Capital Markets Compliance, Vice President, New York

Your Impact:We are looking for a dynamic professional to join the Private Wealth Management (PWM) Capital Markets Compliance team. Capital Markets Compliance focuses on PWM complex products and alternative investment offering, including options, swaps, forwards, exotic derivatives, structured products, hedge funds and private equity funds. The role entails supporting the PWM business in offering complex products in the US and managing a team.Our Impact:Capital Markets Compliance works closely with the business to deliver to Private Wealth clients a broad array of investment solutions and to customize them to fit client’s needs. This role will provide product related compliance advice and support to the PWM business. Specific tasks would include conducting compliance surveillance, review of marketing materials and training, product and trade approvals as well as advisory and project work.

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