The Capital Markets group executes certain transactions for WM clients, and comprises various capital markets trading desks and product areas such as structured products and syndicate. Responsibilities include:
advising business persons on regulatory and compliance requirements;
drafting, updating, and ensuring effective implementation of policies and procedures;
evaluating new products and business opportunities;
conducting an annual risk assessment of the business' controls against applicable regulations;
preparing and conducting compliance training presentations for business personnel, including the annual compliance presentation and specialized training on new regulations, products or policies;
planning and executing significant projects to establish or enhance compliance and supervisory controls;
researching and responding to regulatory inquiries and examinations;
working on a variety of special projects and global initiatives. Candidate must have in-depth knowledge of SEC and FINRA broker-dealer regulation and the regulatory environment, particularly with respect to complex capital markets products, private markets, and non-conventional or alternative investments. Helpful experience or knowledge would include: work at a regulatory agency or self-regulatory organization or work in a regulatory, legal, compliance or business capacity on capital markets, private markets, and/or alternative and non-conventional investments. A legal or academic background or other training in financial services or securities regulation is required. Series 7 license is preferred. The qualified candidate will have: excellent written and verbal communication skills; a strong work ethic and a passion for high performance; self-motivation; high energy; excellent interpersonal skills; proficiency with PC applications; the highest standards of integrity and ethical judgment; and a minimum of 7 years relevant experience, preferably at a major national or global securities firm, regulatory organization, or law firm.
Internal Number: 1653822
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