VP, Investment Advisory

Client looking to move quickly
High growth opportunity

About Our Client

Client is top global Canadian bank.

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 the development and expansion of 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, and new laws, regulations, rules, interpretations, or guidance related to Investment Banking Compliance in all jurisdictions.
Ensure that the day-to-day activities of the Investment Banking Compliance team align with the Bank's risk culture and the relevant risk appetite statement and limits.
Analyze and assess the impact of new and complex regulatory and compliance developments on senior functions, business units, products, and cross-border operations.
Participate in industry groups, trade associations, working groups, and other relevant forums.
Oversee the investigative process for possible non-compliance instances and ensure proper escalation to relevant teams/individuals for remediation or corrective actions.
Assist in the development and delivery of training programs for front office and 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, with consideration for similar experience with a regulator or law firm.
Experience providing legal, regulatory, or compliance advice to Markets sales and trading.
Knowledge of Corporate Investment Banking and Capital Markets.
Strong understanding of applicable securities laws, rules, and regulations, with the ability to assess firm impact (e.g., FED, FINRA, SEC, CFTC, NYSE, OCC).
Excellent oral and written communication skills.
Ability to make, support, and defend complex regulatory/compliance decisions in a fast-paced, high-pressure environment.
Ability to project confidence and professionalism in interactions with senior business personnel.
Strong knowledge of technology infrastructure and global booking models.
Ability to manage multiple projects in a fast-paced environment.
Ability to work effectively in a global environment, leveraging and sharing best practices and insights across teams.
Juris Doctor (JD) preferred.