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| Job Category: |
Hot Jobs |
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| Job Title: |
Equity Capital Markets Compliance VP
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| State/Location: |
New York, NY |
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| Company: |
Jack Kelly |
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| Contact: |
Jkelly@Compliancesearch.com
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| Description: |
Our client, a top-tier investment bank, seeks an Equity Capital Markets Trading Floor Compliance Officer. The individuals will be responsible for Equities Sales & Trading and related products (Listed & OTC Options, Securities Based Swaps, Futures and Structured Products).
This person should have deep understanding of the US equity trading markets, including the relevant current and proposed industry and regulatory developments. This person should also have knowledge of equity derivative products and markets, including current and pending industry and regulatory developments.
Key Responsibilities:
Supporting Compliance initiatives including writing policies and procedures, assisting in the research of and responding to regulatory inquiries and examinations, preparing and conducting compliance training sessions for business personnel, including the annual compliance meeting and specialized training on new regulations or policies;
Providing timely responses to general and complex questions on a broad range of policies, procedures, regulations and firm requirements pertaining to sales practices, best practices, operations, products and trading;
Advising business persons on regulatory and compliance requirements pertaining to new business initiatives with an ability to develop solutions that meet the requirements
Collaborating with the business to establish and maintain an integrated compliance and supervisory structure;
Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities and working with supervisors to implement any required changes to current policy / practice and supervision.
Work closely with internal business partners to implement policies and procedures
Advising management on significant compliance matters and issues;
Interacting with regulatory agencies and exchanges; and
Performing annual risk assessments of the business.
Interaction with Information Technology, Product Development and Operations on Compliance related initiatives;
Participating in internal investigations and coordinating with other Control functions in internal and external audits and inspections.
Qualifications:
A minimum of 5 years relevant compliance experience, preferably at a major national or global securities firm or regulator.
3-8 years of experience in one or more of the following: experience in a regulatory, compliance or business capacity on sales or trading desks; in a transactional capacity; or with a hedge fund, investment advisor or investment company;
Ability to effectively collaborate with multiple stakeholders including legal, internal audit, risk management and other internal business partners;
Broad knowledge of federal and SRO investment adviser laws and regulations;
Professional experience or knowledge would include: work in regulatory agency or self-regulatory organization; work in a regulatory, compliance or business capacity in a full service broker/dealer.
An academic background or other training in financial services or securities regulation is preferred.
To Apply please submit your resume to Jack Kelly Jkelly@Compliancesearch.com
The Compliance Search Group is the oldest, largest and most respected global search firm focused on the placement of Compliance, Legal, Risk Management, Audit, Credit, Accounting, Financial Controls and Regulatory professionals.
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