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VP - Corporate Finance Compliance Advisory
Leadership, advisory opportunity
About Our Client
My client is world leader in banking and financial services, providing expertise in corporate and investment banking, capital markets, and transaction services. They provide services and advisory to corporate, government, and institutional clients around the globe.
- Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
- Develop and deliver proactive strategies and tactics that support compliance/business objectives.
- Provide regulatory/compliance training.
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with federal and state regulators.
- Perform testing and monitoring of compliance with firm policies for covered business areas.
- Conduct compliance risk assessments to ensure effective business control framework.
- Analyze new regulations and conduct business-based analysis and execute requite implementation.
The Successful Applicant
- 5+ years of compliance advisory experience with investment banking business lines.
- Extensive experience within debt capital markets compliance.
- Deep knowledge and the ability to apply the Securities Act of 1933 and 1934.
- Analogous experience within a regulator would also be applicable for this role.
- Knowledge of fixed income and equities sales and trading 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.
- JD is a plus.
What's on Offer
- Full health benefits