VP, Capital Markets Advisory

Client looking to move quickly
Wide Exposure Across the Firm

About Our Client

Client is top, global, Canadian banking entity.

Job Description

Provide day-to-day strategic advice and guidance to the front office and relevant control functions on public and private offerings of equity and debt securities
Assist in developing and expanding a global Investment Banking Compliance program and Control Room across Canada, the US, Europe, and Asia Pacific
Monitor and identify regulatory developments, including enforcement actions, new laws, regulations, rules, interpretations, or guidance related to Investment Banking Compliance in all jurisdictions
Ensure day-to-day activities of the Investment Banking Compliance team align with the Bank's risk culture, risk appetite statement, and limits
Analyze and assess the impact of new and complex regulatory and compliance developments, including cross-border considerations, across senior functions, businesses, and products
Participate in industry groups, trade association working groups, or other relevant forums
Oversee the investigative process for potential non-compliance issues and ensure proper escalation for remediation or corrective actions as necessary
Assist in the development and delivery of training programs for front office and relevant control personnel

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

5-7+ years of compliance advisory experience; similar experience with a regulator or law firm will also be considered
Experience providing legal, regulatory, or compliance advice to Markets sales and trading
Strong knowledge of Corporate Investment Banking and Capital Markets
In-depth understanding of applicable securities laws, rules, and regulations, including FED, FINRA, SEC, CFTC, NYSE, and OCC, with the ability to assess firm impact
Excellent oral and written communication skills
Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced, high-pressure environment
Ability to project confidence and professionalism when dealing with senior business personnel
Strong knowledge of technology infrastructure and global booking models
Ability to handle multiple projects simultaneously in a fast-paced environment
Ability to work effectively in a global environment, leveraging and sharing best practices and insights with colleagues worldwide
JD (Juris Doctor) is a plus