Job Description: A Banking Capital Markets Compliance Officer ensures that operations adhere to all contractual and regulatory requirements regarding financial transactions, procedures, processes and operations are compliant, relevant laws, internal policies, and industry best practices. This role is primarily responsible to ensure risk & compliance to Operational / Process Controls, Service Delivery, Fraud Risk Assessment, Client Contracts and Organizational Policies and Procedures in client area. Provide support and guidance to operations during internal/external audits Act as independent reviewer and evaluation body to ensure that compliance issues/concerns within client area are being appropriately evaluated, investigated and resolved. Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guideline on how to avoid or deal with similar situations Provide reports on a regular basis, and as directed or requested, to keep senior management informed of the operations and progress of compliance efforts Educating and training employees on compliance guidelines
