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.
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.
- 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 wall crossings, as needed;
- Ability to work independently while understanding when to involve other groups or team members
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 Ben Ellison on 646 766 1212 or