Compliance Advisory Associate – Investment Bank

Position Summary:

• This top investment bank in NYC is seeking a compliance professional to join their Investment Banking Compliance Team as an Associate.
• This individual will collaborate closely with various departments including business operations, legal, and management.
• Reporting directly to the Head of Investment Banking Compliance, the role will encompass a diverse range of regulatory and compliance responsibilities pertaining to our investment banking advisory and financing activities.

Essential Job Functions:

• Evaluate and address compliance concerns related to both fundamental broker-dealer and IB-specific policies, procedures, and regulations
• Monitor and stay updated on regulatory shifts and rule modifications, ensuring the continuous upkeep of associated policies, procedures, and training materials
• Establish, execute, and refine compliance testing and surveillance protocols to mitigate risks
• Research, develop, and implement effective control mechanisms, including the creation/updating of corresponding policies and related training materials
• Collaborate with compliance, legal, and business counterparts covering research, control room, and sales and trading matters relevant to IB compliance

Preferred Qualifications:

• Demonstrated ability to independently identify and resolve issues, and influence behavior to ensure adherence to policies and procedures
• Strong interpersonal skills, self-assurance, and the capability to successfully engage with staff and management at all levels (in person)
• Agility in problem-solving, adept at untangling complexities, and proficient in implementing pragmatic solutions to business and compliance challenges
• Outstanding written and verbal communication skills
• Exceptional organizational skills with a keen eye for detail
• Comfortable working autonomously as well as in a collaborative team setting
• Critical thinking, proactive, and creative mindset
• Rapid learner and self-initiator, proficient in managing multiple tasks concurrently with minimal supervision
• Possesses a positive, hands-on, and proactive attitude
• Willingness to travel domestically

Basic Qualifications:

• 3-5 years of experience in compliance coverage within the broker-dealer line of business; familiarity with investment banking, capital markets, and/or control room operations is a bonus
• Understanding/awareness of laws, rules, regulatory requirements, and risks impacting broker-dealers and IB
• Involvement in policy and training development, including writing and communication/presentation, as well as the design and function of related monitoring and testing