Support the department's dual mission of furthering legitimate business objectives while protecting the Bank from legal, regulatory and reputational risk. Interact directly both with external counterparts and with members of internal business divisions, while also working closely with the credit, risk, operations, and collateral teams who share responsibility for the success of the Bank's client focused activities. Operate under the supervision of the Legal team to investigate multiple types of matters, including operational risk incidents and employee misconduct.
Investigate significant operational risk incidents that result in losses or potential losses for the Bank, for presentation to senior management of the Bank's U.S. operations. Scope investigations, conduct employee interviews and review documentary evidence to determine the root cause of the incident based on the facts. Conduct methodical reviews of each matter and draft explanatory memorandums, which include factual findings as well as recommendations for remediation, and prepare and present such reports to senior management and regulators, as appropriate.
Consult with other lawyers, including the Bank's U.S. General Counsel where appropriate, and other senior managers as appropriate before presenting findings and advice. Conduct internal investigations and post-mortem reviews relating to a variety of legal and non-legal matters, including regulatory enforcement matters, employee matters, whistle-blower claims, operational risk incidents and others.
Conduct detailed internal investigations into issues of concern that may relate to potential regulatory enforcement issues, employee matters, whistleblowing claims, and other legal and non-legal issues. Investigate such matters by reviewing appropriate documents, conducting employee interviews, and consulting with other lawyers or subject matter experts within the Bank as appropriate.
Use strong communication skills (written and verbal) to present verbal and written summaries of findings and advice to various stakeholders within the bank, including senior managers of U.S. operations. Work in conjunction with multiple other areas of the firm, including the Front Office, Compliance, Risk, Audit, and various cross-department committees.
Collaborate with various front office employees and managers as well as support units including others in the Legal Department, Operations, Risk, Compliance and Audit in both the Bank's US operations as well as globally. Coordinate with headquarters in Paris on cross-jurisdictional investigations and related matters.
Liaise and collaborate with headquarters in Paris and other global teams to conduct cross-jurisdictional investigations regarding global business activity and the Bank's shared global operating and trading systems. Coordinate investigations that impact global teams to ensure that the investigative findings have accurately addressed and incorporated all impacted global teams and that the resolution and recommended corrective actions are accepted and implemented in other regions as appropriate in order to further the Bank's global banking objectives.
Telecommuting permitted 2 days per week. When not telecommuting, must report to 245 Park Ave, New York, NY 10167.
MINIMUM REQUIREMENTS:
- J.D., LL.M., or U.S. equivalent in law, plus 5 years of professional experience as an Attorney, Associate, Counsel, or related occupation/position/title providing legal advice and conducting complex investigations for Financial Services organization
- Must be admitted to the New York State Bar
- Must have 5 years of professional experience providing legal advice for financial, risk, operations, and technology concepts related to an international bank engaged in trading and investment banking activities in multiple jurisdictions
- Must have 5 years of professional experience conducting internal investigations for allegations of fraud, employee misconduct, and violations of securities law and regulations
- Must have 5 years of professional experience presenting investigative findings and remediation plans to senior stakeholders
- Must have 5 years of professional experience conducting interviews and review of communications and other documents in connection with investigations
- Must have 3 years of professional experience investigating operational risk incidents
Application Instructions:
Please email resume to: us-humn-recruitment@sgcib.com. Must specify Ad Code MDDM in the subject line.
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