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In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 7 yrs required
Compliance Director - Control Group Research Clearance Advisory Manager The candidate will have primary focus on the Research business and have management responsibilities for a four-person team that is responsible for clearing Research products, gatekeeping interactions between banking and research, and approving public appearance requests. Engage with legal and compliance colleagues in Bank's US and overseas offices, investment bankers and outside counsel to identify, evaluate and resolve issues related to publication of research notes. Respond to questions from research analysts, Research management, and investment bankers regarding company policy, regulatory rules and franchise issues related to the research product. Manage and oversee the team responsible for the review of investment research authored by Bank’s equity and fixed income research analysts and handle escalations related to whether research can be approved pursuant to applicable US and foreign securities laws, including, where appropriate, editing the research so it can be approved. The research to be reviewed includes fixed income and equity call notes, reports and marketing handouts on securities, industries, as well as economic and market analysis. Participate in chaperoning authorized discussions between research analysts and investment bankers to ensure proper business practice under company policy and regulations. The task requires extensive interaction with the relevant parties, at times acting as a conduit to foster best business practices. This requires an understanding of the capital formation process and the ability to listen intently for questionable or suspect business direction, keeping a detailed record of the participants as well as the conversation itself and acting as a resource to ensure a proper outcome. Draft policies and procedures for Research department, and develop as well as participate in, trainings for the Research department. Respond to regulatory inquiries and internal audits. Develop and provide training to business units and individuals. Advise on business seating arrangements.
Qualification and Experience
The candidate should preferably have a B.A./B.S. degree in a related field with 10+ years of experience providing control group, capital markets, trading or banking compliance coverage in-house, or working in audit, risk or regulatory areas OR be a law school graduate with 7+ years of experience working in-house at a financial institution, for a regulatory agency, or at a law firm specializing in the financial services industry. Should preferably have significant knowledge of the debt and equity research rules, safe harbor analysis, and policy considerations of a global investment bank with respect to equity and debt research. Special consideration will be given to applicants who have prior Control Group or Product Compliance experience at an investment bank. Should also be familiar with the issuance of policies, be able to train business groups, and have strong writing, presentation and analytical skills.
Ref. #: 15076999
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