VP Compliance
A global financial institution is seeking a Vice President to join its US Markets Compliance Advisory team. The Vice President, Compliance Advisory supports compliance across corporate investment banking functions, including Debt and Equity Capital Markets. The VP Compliance Advisory will report into the Director of Investment Banking. The ideal candidate has strong advisory experience in investment banking compliance and deep knowledge of U.S. securities regulations.
This role will require 4 days a week onsite in NYC.
Key Responsibilities:
- Advise front office and control teams on public/private offerings
- Support global buildout of Investment Banking Compliance and Control Room
- Monitor regulatory developments and assess firm impact
- Lead investigations and ensure proper escalation/remediation
- Assist with development and delivery of training program for front office personnel and relevant control personnel.
Qualifications:
- Bachelors Degree, JD a plus!
- Prior experience with Fixed Income
- 5+ years of relevant experience at an Investment Bank
- Expertise in SEC, FINRA, CFTC, FED, NYSE, OCC regulations
- Strong communication, decision-making, and project management skills
- Ability to project confidence and professionalism in dealings with senior business personnel.
This is an excellent opportunity to join a great bank with tons of room for growth. Apply in today!
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