VP – Research Compliance recruitment
This position provides the genuine opportunity to gain broader compliance exposure and be heavily involved in projects, while maintaining a substantial level of visibility within the business. Our client has an unrivalled reputation in the market for providing their employees with a stimulating and collegial working environment.
The key tasks will include, but are not limited to:
- Review and approve Equity Research;
- Draft and implement policies and procedures in line with SRO rules e.g. 2711, and regulatory developments;
- Chaperone research communication;
- Review Marketing and Sales Material
You will have:
- A minimum of 3+ years research compliance experience;
- In depth and sound knowledge of regulatory rules regarding research publication and research analyst communications;
- Bachelors; JD is highly desired;
- Experience in Equity and/or Debt Capital Markets;
- Strong written and verbal communications skills
- Flexible approach
- Ability to work independently and also part of a team
May 23, 2012
• Tags: Compliance, Legal careers in the USA, Research Compliance recruitment, VP • Posted in: Financial