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Capital Markets Director/Senior Principal - Promontory

Company: IBM Computing
Location: Durham
Posted on: November 19, 2021

Job Description:

IBM Capital Markets Director/Senior Principal - Promontory in Research Triangle Park , North Carolina Introduction Promontory Financial Group ('Promontory'), an IBM Company, is a global leader in strategy, risk management, and compliance consulting. Promontory excels at helping clients resolve critical issues, particularly those with a regulatory dimension. Our unique domain expertise, combined with IBM's world-class technology, allows us to resolve challenging national and cross-border issues in banking, securities, commodities, financial instruments, markets, digital assets, and insurance. Promontory professionals have unparalleled regulatory experience and insight, and provide our clients with frank, proactive advice informed by best practices and regulatory expectations. Your Role and Responsibilities Promontory is seeking a Senior Principal or Director with expertise in capital markets regulatory compliance to join its Compliance Practice Group. In this role, you will serve as a capital markets regulatory expert, leading and executing engagements to include mock regulatory examinations/audits, review of adequacy and effectiveness of compliance programs and internal controls, and analyses of trade data and trading strategies. Key roles and responsibilities include the following: Serve as a capital markets regulatory expert for the design and conduct of comprehensive, complicated compliance engagements, including mock regulatory examinations/audits, review of adequacy and effectiveness of compliance programs and internal controls, and analyses of trade data and trading strategies. Interact comfortably with client personnel and regulatory authorities, generally with a Managing Director present. Manage staff, including Analysts, Associates and Principals, assigned to projects. Manage and oversee project workstreams to ensure adherence to project timelines, budgets, and quality expectations. Travel as required to client sites in the United States and internationally. Time spent traveling can be as much as 50-75 percent, depending on the nature and location of projects. Lead or support Compliance Practice Group initiatives, including thought leadership, business development, and talent management. This role is located in various cities. Required Technical and Professional Expertise 7+ years of technical/quantitative experience in the financial, banking, or regulatory sectors. Examination experience at a financial regulator, such as the SEC or FINRA, highly desirable. Technical expertise and experience in trading, compliance, risk management, or legal and regulatory issues in financial services. Familiarity with high frequency trading, algorithmic trading, statistical arbitrage, correlation or volatility trading a plus. Demonstrated experience in building and managing project teams to address complex issues in high pressure situations. Familiarity with the federal securities laws (Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934) and self-regulatory organization rules (FINRA, NFA). Regulatory examination experience, preferably relating to examinations of registered investment advisers, investment companies, broker-dealers, or private fund managers. Experience as an SEC or FINRA examiner strongly preferred. Ability to lead and manage various aspects of engagements, with a demonstrated ability to work with both internal and external clients. Experience conducting interviews of compliance professionals as well as senior level business professionals. Demonstrated leadership skills. Superior writing and editing skills with the ability to construct well-founded, clear, and concise analyses and recommendations. Strong attention to detail. Preferred Technical and Professional Expertise

  • MBA, PhD, JD, Masters degree, or equivalent experience is preferred. About Business UnitFounded in 2001 by Chief Executive Officer Eugene A. Ludwig, former U.S. comptroller of the currency, Promontory became a wholly owned subsidiary of IBM in 2016. Operating at the intersection of strategy, risk management, technology, and regulation, Promontory helps clients achieve their business goals through designing and implementing strategic initiatives, performing key functions, and managing regulatory, operational, and financial risks. We are a trusted partner to both financial and non-financial corporations and governing bodies. We work with boards of directors, senior management, business-line leaders and compliance professionals to help improve functions and business results. Your Life @ IBMAre you craving to learn more? Prepared to solve some of the world's most unique challenges? And ready to shape the future for millions of people? If so, then it's time to join us, express your individuality, unleash your curiosity and discover new possibilities. Every IBMer, and potential ones like yourself, has a voice, carves their own path, and uses their expertise to help co-create and add to our story. Together, we have the power to make meaningful change - to alter the fabric of our clients, of society and IBM itself, to create a truly positive impact and make the world work better for everyone. It's time to define your career. About IBMIBM's greatest invention is the IBMer. We believe that progress is made through progressive thinking, progressive leadership, progressive policy and progressive action. IBMers believe that the application of intelligence, reason and science can improve business, society and the human condition. Restlessly reinventing since 1911, we are the largest technology and consulting employer in the world, with more than 380,000 IBMers serving clients in 170 countries. IBM's greatest invention is the IBMer. We believe that through the application of intelligence, reason and science, we can improve business, society and the human condition, bringing the power of an open hybrid cloud and AI strategy to life for our clients and partners around the world. Restlessly reinventing since 1911, we are not only one of the largest corporate organizations in the world, we're also one of the biggest technology and consulting employers, with many of the Fortune 50 companies relying on the IBM Cloud to run their business. At IBM, we pride ourselves on being an early adopter of artificial intelligence, quantum computing and blockchain. Now it's time for you to join us on our journey to being a responsible technology innovator and a force for good in the world. Location StatementIBM offers a wide range of resources for eligible IBMers to thrive both inside and outside of work. In addition to a competitive benefits program consisting of medical and life insurance, retirement plans, and time off, eligible employees may also have access to: *12 weeks of paid parental bonding leave. Family care options are also available to support eligible employees during COVID-19. *World-class training and educational resources on our personalized, AI-driven learning platform. IBM's learning culture supports your restless attitude to grow your skills and build the depth and scale of knowledge needed to achieve your career goals. *Well-being programs to support mental and physical health. *Financial programs that empower you to plan, save, and manage your money (including expert financial counseling, 401(k), IBM stock discount, etc.). *Select educational reimbursement opportunities. *Diverse and inclusive employee resource groups where you can network and connect with IBMers across the globe. *Giving and volunteer programs to benefit charitable organizations and local communities. *Discounts on retail products, services, and experiences. We consider qualified applicants with criminal histories, consistent with applicable law. Being You @ IBMIBM is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, pregnancy, disability, age, veteran status, or other characteristics. IBM is also committed to compliance with all fair employment practices regarding citizenship and immigration status.

Keywords: IBM Computing, Durham , Capital Markets Director/Senior Principal - Promontory, Accounting, Auditing , Durham, North Carolina

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