Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
ProfileCompliance Advisory and Control Room - VP The candidate will provide regulatory advice to Investment Banking, Equity Capital Markets, Syndicate and Research business units. Provide support to the Control Room on daily functions as needed. Review, draft and implement compliance policies and procedures. Plan, coordinate and conduct training plans for businesses under coverage. Respond to regulatory inquiries. Assist with surveillance initiatives. Assist on ad-hoc projects and other special assignments as needed. J.D. preferred. Must be experienced compliance professional, ideally in Investment Banking, Control Room, Research and/or origination. Should have 5+ years of relevant compliance experience. Should have ability to interact with senior investment bankers, research analysts and other members of the Compliance Department. Strong knowledge of applicable securities rules, laws and regulations are needed.
Job Code: 994142