We've teamed up with a top-tier Investment Bank to assist in the search for a Compliance Officer. The US Compliance division conducts Second Line of Defense oversight for corporate banking, investment banking, and broker-dealer operations. Our partnership entails aiding the US Compliance department in supervising corporate banking, investment banking, and broker-dealer operations. This includes the responsibility of monitoring and communicating compliance risks and issues to management at various levels, from local to regional and head office.
Responsibilities
- Train on and oversee firm policies regarding Information Barriers and Investment Banking Conflicts of Interest.
- Maintain and update the firm's Watch and Restricted Lists.
- Manage Wall Crossings and records.
- Daily review and clearance of research publications to ensure compliance and spot conflicts of interest.
- Work with Surveillance team on potential trading issues.
- Ensure global consistency by coordinating with Control Rooms in Europe and Asia.
Qualifications
- Bachelor's degree required (JD preferred, securities licenses a plus).
- 3-5 years compliance experience in Control Room, with Research focus.
- Detail-oriented with a strong work ethic and adaptability.
- Proficient in securities regulation, especially in information barrier and conflicts clearance.
