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Do Not Be Influenced by Others’ Negative Opinions of You
In-House
Attorney
Government / Public Law
Litigation - Whistleblower - CFTC
5-7 yrs required
Senior Control Group and IB Compliance Officer Duties: Take a senior role in the Control Group for the Americas, which includes Investment Banking and Research Compliance. Meet independently with, and advise, Firm employees and management. Take on a leadership and training role for junior staff. As senior member, advise and counsel Global Control Group and Global Compliance colleagues, including training and consulting on US securities laws and regulations regarding e.g., IPOs, Research, Trading restrictions. Assisting and advising on investment banking (M&A and capital markets) transactions, including providing guidance to Investment Banking and Capital Markets team. Maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams. Advisor to business groups as well as other Legal and Compliance colleagues on issues regarding Information Barriers, wall crossing procedures, sensitive information and need to know policies. Chaperoning communications between investment banking and equity research personnel. Review of pending research reports and proposed initiations and changes to identify potential legal or regulatory conflicts. Providing advice to the Equity and High Yield Research Department on research regulations (e.g. FINRA Rules and Bond Market Association standards) and management of conflicts of interest in connection with investment research. Assisting in conflicts management: conducting checks on proposed relationships and transactions to identify potential conflicts of interest; analyzing any conflicts identified with the relevant business units to ensure timely resolution or escalation. Active engagement and coordination with the global investment banking, capital markets and research compliance team including input into and deployment of policies in the Americas. Assessment of and actioning as appropriate Americas regulatory developments including drafting of policies and procedures. Delivery of periodic training to investment banking, research and capital markets staff including new hires. Investment Banking and Research Compliance Advisory, including advising on core compliance issues. Drafting and updating policies and procedures.
Qualification and Experience
Qualifications: Bachelor degree required; Master’s or J.D. Degree a plus. 5-7+ years Compliance or Legal experience. Think analytically and provide advice based on sound judgment. Have excellent oral and written communication skills. Be comfortable with creating and delivering effective presentations. Work effectively in a team environment and foster effective relationships. Willing to be flexible to cover different shifts and take on ad hoc projects and reviews as needed. Be able to react and engage in a fast paced environment, managing a wide variety of requests. Be able to work positively and make decisions under time pressure. Be able to interpret and apply SEC, FINRA and other regulatory rules.
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