Compliance Director – Boutique Investment Bank
Salary $200000 - $250000 per year
Location New York
Consultant Henry Smith
Date posted May 15, 2017
Market leading boutique Investment Bank requires a senior compliance executive to lead their existing compliance function.
Market leading boutique Investment Bank requires a senior compliance executive to lead their existing compliance function. 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 Private Placements) is required and prior experience leading teams and dealing directly with the regulators is 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
- Main point of contact for all regulatory inquiries, prepare regulatory filings when necessary (including with FINRA, SEC, NYSE and international regulators) and 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 as well as for external clients with respect to compliance matters
- Continuous oversight compliance training and education throughout the business.
Suitable candidates will possess -
- A Juris Doctor is required with a top tier academic background
- 10 years relevant experience in banking compliance
- Excellent regulatory knowledge, specifically relating to broker-dealer regulation, either from a law firm or other broker dealer compliance department,
- An understanding and practical experience of private placement rules and protocols is also critical
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with international stakeholders across multiple jurisdictions