Our client, an investment banking advisory firm, is looking for a VP or Director level Compliance professional in New York.
This advisory role will essentially make sure the firm is conducting business in accordance with federal and state laws and various rules and regulations (FINRA and SEC) as well as internal policies and industry best practices. Such advice includes, but is not limited to, insider trading and conflicts, as well as anti-money laundering and government sanctions.
The ideal candidate will have:
- 6/10 years of Advisory compliance experience in a banking/broker dealer environment.
- Knowledge of FINRA rules and SEC regulation.
- Juris Doctorate required given this role will also cover NDA as well as ad-hoc legal tasks
- Coordinate with respect to certain conflicts issues, including but not limited to:
- Pre-deal conflicts checks, conflict mitigation (such as "treeing") and information barrier procedures;
- Management of Watch and Restricted Lists, and assistance with Natixis wall crossings, as needed;
- Analyze relevant laws and regulation and determine applicability to the business.
The position will suit a highly motivated, entrepreneurial professional with an appetite to learn and a desire to work in a fast paced international environment. You will need to possess a strong academic profile, excellent organizational & communication skills and the ability to work with moderate supervision.
Compensation is competitive and commensurate with industry experience.
For more information, please contact Benjamin Ellison on 646 766 1212 or