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Melinda Burrows
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Energy Service Company
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Compliance Counsel Capital Markets And Operations
Refer job# NVHL162408
 
Compliance Counsel - Capital Markets and Operations The candidate will provide wide-ranging compliance advice and guidance to the firm's fixed-income trading areas to maintain and continually evolve the compliance program. Interpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving trading and operational issues. Investigate and resolve compliance issues and respond to questions from internal stakeholders throughout the organization. Influence and guidance the compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firm. Coordinate and conduct assessments of internal policies, procedures and controls. Oversee: (a) the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations; and (b) the design, implementation and operation of the overall compliance program. Provide significant support to projects and initiatives.
 
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