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Vice President – U.S. Markets Investment Banking Compliance Advisory
Governance
pa, United States
185,000 USD
7 May 2025
Job Description
Vice President – U.S. Markets Investment Banking Compliance Advisory
NYC, NY – Hybrid: 3 days in office
As a Vice President – U.S. Markets Investment Banking Compliance Advisory, you will:
As a Vice President – U.S. Markets Investment Banking Compliance Advisory, you will need:
NYC, NY – Hybrid: 3 days in office
As a Vice President – U.S. Markets Investment Banking Compliance Advisory, you will:
- Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities.
- Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific.
- Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions.
- Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact.
As a Vice President – U.S. Markets Investment Banking Compliance Advisory, you will need:
- Bachelors degree or progressive work experience, JD is a plus
- 5-7 years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
- Experience in providing legal, regulatory or compliance advice to Markets sales and trading
- Knowledge of Corporate Investment Banking and 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.
- Must be a U.S. Citizen or Greencard Holder
Skills
Compliance Advisory
Job Reference
165359
Date Posted
7 May 2025
Industry
Compliance
Category
Compliance & Financial Crime
Role
Regulatory Compliance Officer
Level
Mid-Level
Employment
Permanent
Working Location
Hybrid
Salary/Rate
185,000 USD
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