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Do Not Be Influenced by Others’ Negative Opinions of You
In-House
Attorney
Government / Public Law
Litigation - Whistleblower - CFTC
Min 2 yrs required
Senior Compliance Analyst- Control Group (Research) Duties: Focus of the position is to review investment research authored by equity and fixed income research analysts and make a determination if the research can be approved pursuant to applicable U.S. and foreign securities laws, including, where appropriate, suggesting edits to the research so it can be approved. Reviewed includes fixed income and equity call notes, reports and marketing handouts on securities, industries, as well as economic and market analysis. Engage with legal and compliance colleagues in 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 Firm policy, regulatory rules and franchise issues related to the research product. Review and approve/deny research analysts’ requests to make public appearances. Chaperone and track authorized discussions between research analysts and investment bankers to ensure proper business practice under Firm policy and regulations. Draft policies and procedures for Research department, and develop as well as participate in, trainings for the Research department.
Qualification and Experience
Qualifications: A JD degree with 2+ years’ experience in a corporation, law firm, hedge fund, private equity fund or regulatory agency. May have 3+ years control room, capital markets or banking compliance experience at an investment bank and a Bachelor's Degree. Must be hard working, conscientious, a team player, capable of multitasking, and rigorous attention to detail. Strong analytical, organization and drafting skills are necessary. Ability to multi-task while working on long-term projects while maintaining the ability to focus on critical details.
Ref-15036711
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