- 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
- 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
- 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