Investment Bank Syndicate Compliance Director Level
This will also include 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 Investment Banking Division (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.
Qualifications:
• 4-year undergraduate degree or equivalent
• 5+ years of relevant experience in financial services, particularly relating to public securities offerings, investment banking and/or underwriting syndication
• 3+ years prior experience providing compliance coverage to the syndicate or private-side investment banking teams of a large investment bank
Preferred Qualifications:
• Excellent communicator that is able to interact and work closely with senior front office staff
• Able to work in a fast-paced, decision-oriented environment
• Experience working within a global banking institution
• Thorough understanding of U.S. securities laws and regulations relating to securities offerings and syndicated underwriting activities, including the Securities Act of 1933, the Securities Exchange Act of 1934 and FINRA regulatory and filing requirements
To apply please submit your resume to Jack Kelly – Jkelly@compliancesearch.com
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