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This person will act as the number two and will ensure the integrity of the firm's Chinese Walls and information barriers as well be a key member of the research compliance team.
The ideal candidate must have:
Prior experience with Compliance Control Room and/or or Information Barriers / Research experience at an investment bank/broker dealer is required
Up-to-date knowledge of relevant regulatory development and market practice - Working knowledge of global capital markets, especially as it relates to the U.S. regulatory environment, investment banking and research interactions
Understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA Research related rules, the Global Research Settlement, conflicts mitigation, disclosure and management
This is a high visibility level role that will see you build and manage relationships with senior stakeholders within the business on a global scale. A highly competitive package is on offer and will be commensurate with industry experience.
For more information, please contact Benjamin Ellison on 646 766 1212 or firstname.lastname@example.org