IB Compliance - VP
Salary $150000 - $200000 per year + BONUS
Location New York
Consultant Henry Smith
Date posted April 4, 2017
Market leading international Investment Bank requires a VP level Compliance officer to cover Investment Banking and M&A activities
This market leading international Investment Bank requires a VP level Compliance officer to cover Investment Banking and M&A activities. The role will involve providing advice and guidance to the advisory business in order to satisfy all external regulatory obligations and client contractual requirements.
A solid understanding of the regulatory environment governing Investment Banking (primarily M&A Advisory activity and Corporate Finance) is required and prior experience in providing compliance advice to the business is a necessity.
With significant changes to regulations affecting the financial services industry, the individual must be able to run workstreams critical to the firm’s overall compliance profile.
Duties will entail -
- To consider the implications of client contractual, legislative and regulatory requirements on the operation of the IB advisory business
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Point of contact for regulatory inquiries, prepare regulatory filings when necessary (including with FINRA, SEC, NYSE and international regulators) and assist management to handle all regulatory audits and exams
- Assess the impact of legislative changes to the banking sector, and ensure the business units are fully informed
- Be the main point of contact for both the business with respect to compliance matters
- Continuous oversight compliance training and education throughout the business.
Suitable candidates will possess -
- A Juris Doctor is preferred with a top tier academic background
- 7 years relevant experience in banking compliance, either in Banking or from a markets background
- Excellent regulatory knowledge, specifically relating to IB regulation, either from a law firm or other IB compliance department
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with international stakeholders across multiple jurisdictions