Job Description

Are you a seasoned compliance professional with expertise in investment banking operations? We are seeking a dynamic Assistant Vice President (AVP) of Investment Banking Compliance to join our team. This position will specialized in the Control Room and Research Compliance space of the client.

Responsibilities:

• Oversee and manage compliance activities related to investment banking operations, with a focus on maintaining market integrity and preventing the misuse of material non-public information (MNPI).
• Provide guidance and support to the Control Room team, ensuring robust policies and procedures are in place to facilitate the clearance of research materials and monitor communications between bankers and research analysts.
• Collaborate with key stakeholders, including Global Banking teams and legal entities, to address compliance issues and implement best practices.
• Conduct training sessions to educate investment banking personnel on regulatory requirements and promote a culture of compliance and ethical conduct.

Qualifications:

• Bachelor's degree in finance, business administration, or a related field.
• Minimum of 5-7 years of experience in investment banking compliance, with a strong background in control room and research compliance activities.
• Deep understanding of regulatory frameworks governing investment banking operations, including FINRA and SEC rules.
• Excellent communication and interpersonal skills, with the ability to build relationships and influence stakeholders at all levels.
• Strong analytical and problem-solving abilities, with a keen attention to detail and accuracy.
• Proven leadership skills, with the ability to effectively manage a team and drive results in a fast-paced environment.

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