Our client, a global investment bank, is looking for a VP - Corporate Compliance Advisory profile in New York City. The role will essentially provide compliance advisory services for the corporate finance business lines by providing real-time compliance advice to investment banking, leveraged finance, equity and debt capital markets (DCM).
Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. Focus on development and implementation of policies and procedures, as well as regulatory investigations and inquiries.
The ideal candidate will have:
- Experience developing and implementing policies and procedures in capital markets.
- Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.
- Experience providing regulatory, legal and compliance advice to market sales and trading - fixed income and equities sales - Debt Capital Markets (DCM) required.
- J.D. preferred.
This is a high visibility level role that will see you build and manage relationships with senior stakeholders within the business on a global scale. Excellent opportunity to move into a globally focused role with excellent career prospects. A highly competitive package is on offer and will be commensurate with industry experience.
To learn more about this opportunity and others like it please email or call Ben Ellison on +1 646-766-1212.