Leading Global Investment Bank seeks AVP Fixed Income Advisory Compliance Officer for Corporate Finance Group – New York recruitment

Candidates with this opportunity will be required to provide real-time support for the corporate finance business with particular focus on the Investment Banking and Advisory space. This means that candidates will gain excellent exposure to some of the key areas of the firm, getting unrivalled experience which will aid in career progression.

The responsibilities will include advising on issues such as Chinese Walls and information barriers, loan syndications, conflicts with internal controls and multiple other issues associated with the continued compliance of a large global investment bank.

The position will report directly into a Director within the Compliance group, and have a dotted reporting line into the CCO, allowing ample senior management facing.

Responsibilities:

• Advise Corporate Finance business areas on firm policies and procedures and applicable securities laws and FINRA regulations

• Identify regulatory trends and developments that impact Corporate Finance business areas, and advise staff as to how this may impact their current activities.

• Draft, update, and implement relevant policies and procedures.

• Provide regulatory/compliance training.

• Assist the business implement and document various supervisory/control mechanisms.

• Develop and assist in executing compliance reviews of Corporate Finance businesses

• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.

• Interact with federal and state regulators

• Track and report relevant key metrics for the Compliance department

Ideal Candidate

• Bachelors Degree (law is preferable)

• JD or MBA qualifications

• associate level experience within the capital markets practice of a law firm or experience of within a fixed income advisory role in an investment bank

• 2+ years of securities experience, preferably in a global investment bank. (Experience within a law firm will also be considered)

• Experience in providing legal, regulatory or compliance advice in connection with investment banking transactions is essential

• Strong knowledge of applicable securities laws, rules and regulations.