Growing Investment banking client is seeking a seasoned compliance professional with deep expertise in Investment Banking, Capital Markets, and Research regulatory frameworks.
- Extensive knowledge of Client and SEC rules and proven experience developing, implementing, and maintaining firm compliance policies supporting Investment Banking and Research activities.
- Strong working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, and applicable Client regulations.
- Acts as a primary compliance advisor to the Investment Banking team, providing guidance on regulatory requirements, conflicts management, and supervisory obligations.
- Responsible for the creation, enhancement, and ongoing maintenance of Written Supervisory Procedures (WSPs) related to Investment Banking and Research.
- Serves as the firm's Investment Banking Compliance Subject Matter Expert, overseeing the design and enforcement of information barriers between Investment Banking, Sales, and Research.
- Manages the development and administration of Restricted and Watch Lists associated with Investment Banking engagements.
- Partners with Investment Banking, Research, Sales, and external parties by participating in internal and client-facing meetings to ensure compliance considerations are addressed.
- Coordinates with third-party vendors and compliance service providers that support Investment Banking operations.
- Conducts ongoing reviews of Investment Banking business practices to identify control gaps, regulatory risks, and operational inefficiencies; recommends and helps implement process improvements.
- Supervises Research analyst compliance, including the review and approval of research reports prior to publication and oversight of proper distribution.
- Acts as a key liaison between Investment Banking, Research, and Sales, ensuring adherence to firm information barrier policies ( \"Chinese Wall\") and conflict-of-interest controls.
- series 79 is a must
Investment Banking Compliance Officer in new york at Unknown Company
This position is listed as full time and onsite.