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Years of Experience
Date Last Verified
Senior Compliance Analyst - Research Clearance and Control Group Duties: Engage with legal and Independent Compliance Risk Management colleagues in U.S. 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 Firm policy, regulatory rules and franchise issues related to the research product. Review and approve/deny research analystsâ€™ 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. Extensive interaction with the relevant parties, at times acting as a conduit to foster best business practices. 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.
Qualification and Experience
Qualifications: Must have a JD degree with 1-2+ yearsâ€™ compliance experience in a corporation, law firm, hedge fund, private equity fund or regulatory agency, with a preference for candidates who have control room, capital markets or banking compliance experience at an investment bank. Encompasses both advisory and process elements and therefore, Must have excellent issue-spotting, analytic, time management, interpersonal, verbal and written communication skills, and must be comfortable with significant interaction with senior banking and research personnel in a quick-paced environment. Must be hard working, conscientious, a team player, capable of multitasking, and rigorous attention to detail. Entails access to sensitive information and applicants must demonstrate through their past work experience and supporting references impeccable personal integrity, maturity, and discretion. Strong analytical, organization and drafting skills are necessary. Must illustrate strong initiative and ownership of responsibilities and tasks and must demonstrate a proactive, positive attitude towards tasks. Ability to multi-task while working on long-term projects while maintaining the ability to focus on critical details. Should be flexible, a fast thinker, self-starter, quick learner and possess the ability to work effectively under pressure in a rapidly changing environment in order to meet deadlines. Able to work autonomously as an effective member of a dynamic team.
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