Job Details

Compliance Advisory And Control Room - Vp

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Organization Type


Job Type


Years of Experience

Min 5 yrs required


New York City, NY

Date Last Verified

Oct 16,2017

Posted on

Mar 02,2017
Practice Area
Finance >> Finance - Banking
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Compliance 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.

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Job Code: 994142

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