Job Description

Description 

Market, Liquidity, and Wealth Risk Management (MLW) Team members work closely with key executives to monitor and manage some of the most significant (and expanding) processes associated with the financial services industry. The Capital Markets Compliance Officer is responsible for providing comprehensive compliance and operational risk oversight for the Bank’s capital markets activities, including foreign exchange (FX), interest rate derivatives, commodities trading, and real estate capital markets. This individual contributor role ensures the Bank’s activities comply with applicable laws, regulations, and internal risk management frameworks, while supporting effective governance, risk assessments, monitoring/testing, and regulatory change management. 

Responsibilities: 

This role operates as a subject matter expert and trusted advisor to front?line business partners, risk stakeholders, and senior management on compliance requirements affecting trading, structuring, and capital markets operations. A Risk & Compliance Officer within MLW provides leadership, analytical skills, and innovative thinking necessary to not only carry out existing risk monitoring frameworks and compliance program but also to enhance and improve existing programs and challenge business line assertions and assessments. Specific responsibilities include, but are not limited to: 

Provide day?to?day compliance advisory support for FX, interest rate swaps, commodities, and real estate capital markets activities. 

Review new products, services, and complex transactions for regulatory compliance implications. 

Conduct scheduled monitoring and testing reviews over assigned business line activities in accordance with the compliance and risk program.

Perform thematic reviews, surveillance analyses, and control effectiveness testing. Document findings, root causes, and recommended corrective actions. 

Communicate findings/issues to business line management in a professional manner. 

Interact with business line partners; schedule and conduct monthly meetings. 

Review electronic communications and marketing materials as needed. 

Maintain and update compliance policies, desk procedures, and risk assessment documentation. 

Prepare reports for senior management, Compliance leadership, and governance committees. 

Participate in audits and regulatory examinations; coordinate responses and evidence gathering. 

Qualifications 

Requires a bachelor’s degree in business, finance, economics, or a related field
0-4+ experience in financial services regulatory compliance, risk management, capital markets, securities industry, auditing or other directly related experience.
A combination of education and experience may meet requirements.

Experience in foreign exchange, interest rate swaps, or commodities a plus. 

Strong analytical skills with the ability to bring together large amounts of data into succinct reports. 

Experience with compliance testing, controls assessments, or monitoring/surveillance programs 

Excellent verbal and written communication skills and ability to present information to regulators, senior management. 

Ability to interpret regulatory rules and translate them into practical business requirements.

Excellent communication, analytical, and problem solving skills with the ability to challenge the business constructively. 

Self-motivation and the ability to work independently or with team members. 

Familiarity with systems such as Calypso (preferred), Murex, Bloomberg, or similar trading/valuation platforms strongly preferred. 

Benefits:

Medical, Dental and Vision Insurance - START DAY ONE!
Life and Disability Insurance, Paid Parental Leave and Adoption Assistance
Health Savings (HSA), Flexible Spending (FSA) and dependent care accounts
Paid Training, Paid Time Off (PTO) and 12 Paid Federal Holidays, and any applicable state holidays
401(k) plan with company match, Profit Sharing, competitive compensation in line with work experience
Mental health benefits including coaching and therapy sessions
Tuition Reimbursement for qualifying employees enrolled in an accredited degree program related to the needs of the business, maximum of $5,250 per calendar year, employees are eligible for the program upon hire
Employee Ambassador preferred banking products