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Director of Investment Banking Compliance
Investment Banking Compliance
About Our Client
Large Global Bank located in Manhattan.
- Cover the ECM, Structured Finance, and Investment Banking business within regards to compliance.
- Develop and execute training in regards to new compliance/regulatory issues that come up.
- Develop and maintain policies and procedures in regards to the business lines being covered.
- Team up with the global team to cover cross-border regulatory matters.
- Be able to liaise with regulators during examinations and inquiries.
The Successful Applicant
- 10 Years of prior relevant experience.
- In-depth knowledge of the Securities Act of 1933 including Reg M, JOBS Act, as well as municipal securities.
- Thorough understanding of SEC Registered Offerings.
- Reg S
- Rule 144A
- Series 7, 24, and 79
- Bachelor's Degree required, JD preferred.
What's on Offer
Competitive Base + Bonus + Benefits