Role OverviewA Senior Compliance Officer is sought for a global financial institution in New York City. The role will serve as the Compliance Subject Matter Expert (SME) supporting Equity Research, Information Barrier governance, regulatory compliance, and Control Room activities.
What You Will Do
Key responsibilities include advising Equity Research, Investment Banking, Legal, and business stakeholders on Information Barriers, wall-crossing procedures, sensitive information, and need-to-know policies. The role will also involve reviewing and approving equity research publications, maintaining the firm's Global Watch List and Restricted List, and responding to Internal Audit, regulatory inquiries, and compliance examinations.
Why It Might Be a Fit
The ideal candidate will have strong knowledge of Information Barriers, MNPI, wall-crossing procedures, and Watch/Restricted List management, as well as experience responding to Internal Audit and regulatory examinations.
Requirements
- Bachelor's degree required (Master's degree preferred)
- FINRA licenses strongly preferred
- 10+ years of Compliance experience within an investment bank, broker-dealer, or financial services organization
- 2+ years of experience supporting Equity Research Compliance and Control Room functions
- Strong knowledge of Information Barriers, MNPI, wall-crossing procedures, and Watch/Restricted List management
- Thorough understanding of SEC and FINRA regulations
- Experience responding to Internal Audit and regulatory examinations
- Strong analytical, communication, and stakeholder management skills
- Ability to manage multiple priorities in a fast-paced environment while exercising sound judgment
Benefits
- Pay Rate: up to $88/hour depending on experience + benefits
]]>