What is the opportunity? 

As an integral member of the Global Capital Markets Compliance Governance and Strategic Initiatives (“GSI”) team, the Associate Director helps support the Global and Regional Capital Markets Chief Compliance Officers.  

The Associate Director will be responsible for assisting with the design, implementation and ongoing administration of a compliance program covering Capital Markets Compliance policies, training, communications, strategic initiatives, lessons learned and reporting.  

The Associate Director will be active in promoting global best practices relating to common program elements, and act as a Subject Matter Expert (“SME”) on the daily activities of the program standards. 

What will you do? 

• Policies and Procedures: Actively participate in the development and management of the global compliance policy and procedure process within CM. Manage the global policy approval process; ensure the global and regional policy inventories are up to date. Maintain the policies and procedures owned by the team. 

• Compliance Training and Communications: Participate in the development and management of the CM global compliance training framework: track and maintain global training material, records, and data; administer report generation on training completion rates and other metrics; manage the distribution of compliance communications in accordance with program schedule and requirements. Drive annual global training effectiveness review and planning exercise with stakeholders across all regions. 

• Strategic Initiatives: Work closely with the COO and CCOs to develop, execute, track, and ensure timely completion of strategic initiatives with varying levels of complexity and uncertainty. This includes supporting ad-hoc projects and activities as required (methodology improvements, stakeholder management, committee reporting, and global coordination). 

• Lessons Learned: Steer the Lessons Learned program for items originating in North America   

• Reporting and Management Information (MI): Ensure all reporting is tracked and delivered on time, participate in the creation of all required reports; coordination of material required for various committee meetings  

What do you need to succeed?  

Must-have:  

• 5+ years of direct experience supporting Capital Markets / institutional businesses (sales and trading, corporate and investment banking) 

• Experience of working with senior executives, leading cross-functional projects  

• Strong and proven problem-solving ability 

• Strong PowerPoint skills and a learning mindset towards newer tools including AI  

• Comfortable with technology and proficiency in manipulating and analyzing large datasets 

Nice to have:

• MBA or another Masters degree 

• Prior experience in Consulting and/or Strategy in Financial Services Sector 

What’s in it for you? 

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. 

• A comprehensive Total Rewards Program including bonuses and flexible benefits 

• Leaders who support your development through coaching and managing opportunities 

• Ability to make a difference and lasting impact 

• Work in an agile, collaborative, progressive, and high-performing team 

• The opportunity to interface with senior level executives from many different parts of the organization