Senior Advisor, GEIB Compliance
$75,000–$90,000 year
HybridNew York, United States
Job Summary
Design, implement, and supervise a comprehensive compliance program with focus on Equity Research and Investment Banking matters. Contribute to the development of policies, systems, and procedures while executing a risk-based monitoring and testing program across all business lines. Provide written and oral advice to stakeholders by identifying risk considerations, conducting inquiries, and preparing regulatory submissions. Lead involvement in risk reviews, audits, examinations, and due diligence processes. Foster positive business relationships with internal and external stakeholders while delivering training to coverage areas as required.
Required Qualifications
- Bachelor's Degree (B.A./B.S.) in a related discipline
- Minimum of three (3) years of experience in the financial services industry, compliance, or risk management
- Knowledge of concepts, practices, and procedures of securities industry compliance, including three-lines of defense model, information barriers, and the management of conflicts of interest
- Knowledge of relevant rules and regulations of the Securities Exchange Commission (SEC)
- Knowledge of relevant rules and regulations of the Financial Industry Regulatory Authority (FINRA) specifically Rules 5100 (corporate finance), 2241 (conflicts of interest and research), 2210 (communications with the public, 3110 (supervision), 1220 (registration rules), Securities Act – Section 5, SEC Rules 138/139, Reg AC, Reg M
- Knowledge of financial markets and products, in particular research products and investment banking transactions structures and processes
- Skill in assimilating information and identifying relevant considerations for analysis
- Skill in determining and applying relevant regulation, policies and procedures to ascertain obligations
- Skill in providing accurate and timely advice to stakeholders
- Skill in conducting inquiries and investigations
- Skill in written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally
- Skill in preparing both oral and written reports, presentations, and regulatory submissions
- Project management skills and experience sufficient to successfully complete long and short-term projects
- Ability to work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
- Ability to attend to detail while maintaining a big picture orientation
- Ability to communicate effectively and professionally, both orally and in writing, with all organizational levels
- Ability to establish and communicate clear directions and priorities
- Ability to recognize when issues need escalated
- Ability to work independently as well as collaboratively within a team environment to resolve problem
- Ability to operate standard office equipment and use required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases
Desired Qualifications
- Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts
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