Madison-Davis, LLC
Senior Manager, CIB & Research Compliance Officer
Madison-Davis, LLC, Houston, Texas, United States, 77246
Senior Manager, CIB & Research Compliance OfficerSenior Manager, CIB & Research Compliance Officer Get AI-powered advice on this job and more exclusive features.
Making sure you fit the guidelines as an applicant for this role is essential, please read the below carefully. This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $100,000.00/yr - $190,000.00/yr An investment bank is looking for a "Senior Manager, CIB & Research Compliance Officer" full-time position with a global bank located in Houston, TX. They're currently on a hybrid schedule of 3 days in office / week. Job Description: Provide timely compliance advisory support to covered business areas on a range of topics, including regulatory requirements, information barriers, conflicts of interest (business and personal), cross-border issues, registrations, gifts and entertainment, research, sales and marketing, and supervisory obligations. Design, maintain, and deliver live compliance training sessions for new hires, annual programs, and ad hoc needs. Draft and review policies, procedures, and guidelines to ensure alignment with regulatory requirements and industry best practices. Develop and implement Written Compliance Procedures (WCPs) to monitor adherence to applicable regulations, policies, and procedures. Monitor and evaluate regulatory and industry developments, assessing their impact and maintaining the Regulatory Obligations Library. Review new business initiatives to assess compliance implications and ensure appropriate controls are in place. Conduct quarterly and annual Compliance Risk Assessments and ensure effective remediation plans are developed and executed. Support compliance testing, internal audits, regulatory examinations, and inquiries related to the covered business areas. Contribute to the development of compliance-related Management Information (MI), including Key Risk Indicators (KRIs) and statistical reporting for business engagement meetings and oversight committees. Seniority level
Seniority levelMid-Senior level Employment type
Employment typeFull-time Job function
Job functionFinance IndustriesBanking, Investment Banking, and Financial Services Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Get notified about new Research Manager jobs in
Houston, TX . Houston, TX $10,000.00-$15,000.00 4 days ago Senior Research Lab Manager - College of Optometry, Vision Sciences DepartmentResearch Operations Manager - TransplantSenior Research Operations Manager - (Immunobiology & Transplant Science Center)Laboratory Manager - Curing Brain TumorsDirector, Research and Innovation ProgramMetabolomics Core Director / Research Group Leader Houston, TX $88,000.00-$92,000.00 1 week ago Houston, TX $90,000.00-$130,000.00 2 hours ago Director of Research and Knowledge ServicesManager of Clinical Education- Operations and Quality (onsite Medical Center) Houston, TX $150,000.00-$170,000.00 1 week ago Director of Life Enrichment - Assisted LivingCommunity Engagement & Corporate Sales Manager - Eureka Heights Brewing CompanyBD and Marketing Manager - Aviation and Airlines, Automotive and Mobility, ESG and Climate Change Houston, TX $145,000.00-$170,000.00 1 week ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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Making sure you fit the guidelines as an applicant for this role is essential, please read the below carefully. This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $100,000.00/yr - $190,000.00/yr An investment bank is looking for a "Senior Manager, CIB & Research Compliance Officer" full-time position with a global bank located in Houston, TX. They're currently on a hybrid schedule of 3 days in office / week. Job Description: Provide timely compliance advisory support to covered business areas on a range of topics, including regulatory requirements, information barriers, conflicts of interest (business and personal), cross-border issues, registrations, gifts and entertainment, research, sales and marketing, and supervisory obligations. Design, maintain, and deliver live compliance training sessions for new hires, annual programs, and ad hoc needs. Draft and review policies, procedures, and guidelines to ensure alignment with regulatory requirements and industry best practices. Develop and implement Written Compliance Procedures (WCPs) to monitor adherence to applicable regulations, policies, and procedures. Monitor and evaluate regulatory and industry developments, assessing their impact and maintaining the Regulatory Obligations Library. Review new business initiatives to assess compliance implications and ensure appropriate controls are in place. Conduct quarterly and annual Compliance Risk Assessments and ensure effective remediation plans are developed and executed. Support compliance testing, internal audits, regulatory examinations, and inquiries related to the covered business areas. Contribute to the development of compliance-related Management Information (MI), including Key Risk Indicators (KRIs) and statistical reporting for business engagement meetings and oversight committees. Seniority level
Seniority levelMid-Senior level Employment type
Employment typeFull-time Job function
Job functionFinance IndustriesBanking, Investment Banking, and Financial Services Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Get notified about new Research Manager jobs in
Houston, TX . Houston, TX $10,000.00-$15,000.00 4 days ago Senior Research Lab Manager - College of Optometry, Vision Sciences DepartmentResearch Operations Manager - TransplantSenior Research Operations Manager - (Immunobiology & Transplant Science Center)Laboratory Manager - Curing Brain TumorsDirector, Research and Innovation ProgramMetabolomics Core Director / Research Group Leader Houston, TX $88,000.00-$92,000.00 1 week ago Houston, TX $90,000.00-$130,000.00 2 hours ago Director of Research and Knowledge ServicesManager of Clinical Education- Operations and Quality (onsite Medical Center) Houston, TX $150,000.00-$170,000.00 1 week ago Director of Life Enrichment - Assisted LivingCommunity Engagement & Corporate Sales Manager - Eureka Heights Brewing CompanyBD and Marketing Manager - Aviation and Airlines, Automotive and Mobility, ESG and Climate Change Houston, TX $145,000.00-$170,000.00 1 week ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr