IBD & Syndicate Compliance Officer

This candidate will work in close coordination with other IBD Syndicate Compliance officers to provide product advisory compliance coverage, primarily for the firm’s Equity Syndicate activities in the U.S.

Main Duties

Primary compliance coverage of U.S. Equity Syndicate and secondary coverage of other private-side investment banking activities. Key duties include:

- day-to-day coverage and guidance for Equity Syndicate activities, including in connection with registered equity and equity-linked offerings, block trades and exempt securities offerings,

- proactive management and resolution of regulatory matters relating to Equity Syndicate activities,

- regular assistance with Compliance advisory services across the private-side Investment Banking department, particularly for equity-related products,

- global coordination with other IBD Syndicate Compliance officers regarding:

• compliance-related advice and effective solutions for evolving business needs,

•  regulatory requirements, interactions and trends,

• enhancements to firm policies, procedures and compliance controls,

• testing and monitoring of effectiveness of compliance controls, and

• development and implementation of training initiatives,

 - frequent interaction with the Compliance Control Room and Equities Compliance,

- global coordination with business, infrastructure and affiliate partners to ensure effective development, implementation and application of compliance-related initiatives.

Person Requirements

Basic Qualifications

Preferred Qualifications:

Law degree or other advanced degrees

July 17, 2013 • Tags: , • Posted in: Financial

Leave a Reply

You must be logged in to post a comment.