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Position will be Hybrid or possibly Remote
Salary & Bonus will be commensurate with experience
Job Description
An independent global investment bank specializing in healthcare, technology, cryptocurrencies, SPACs and emerging growth companies is looking for Senior Compliance Officer.\
About the Company
Range of services include capital raising, merger and acquisition advisory, strategic advisory, equity research, corporate access, and institutional trading. Headquartered in New York City, the company is a registered broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: FINRA, SIPC, and NASDAQ.
The Company is an Equal Opportunity/Affirmative Action employer and does not discriminate on the basis of race, gender, ancestry, color, religion, sex, age, marital status, sexual orientation, gender identity, national origin, medical condition, disability, veteran’s status, or any other basis protected by law.
Job Responsibilities
Provide real-time advice to Investment Banking and Capital Markets on Regulation BI, Regulation M, and other applicable regulatory requirements related to public and private offerings such as, ATMs, Follow-Ons, RDOs, PIPEs, and other Private Placements.
Advise Business Lines, Legal, and Compliance colleagues on information barriers, wall crossing procedures, sensitive information and need to know policies.
Provide Compliance and regulatory guidance advice to Equity Research department regarding Rule 2241, Regulation AC, and the Global Research Settlement.
Develop and maintain effective Written Supervisory Procedures relating to any and all firm activities. (e.g., Investment Banking, Equity Research, Information Barriers & MNPI, AI, etc.)
Create and manage effective action plans in response to any identified compliance deficiencies.
Advise Equity Research and Corporate Access regarding use of experts and expert networks.
Advise Senior Management on new laws/regulations and their related impact on our businesses.
Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters and respond to compliance related questions from management and staff.
Monitor electronic communications and escalate potential compliance issues.
Monitor trading activity for compliance issues.
Assist in maintaining the Firm’s Watch and Restricted Lists, including seeking and responding to updates from investment banking teams.
Prepare and file FINRA Gateway filings such as Form BD, Forms U4 and U5, and responses to 8210 Requests.
Conduct training of the equity research, public and private side staff during onboarding, add-hoc and annual compliance training.
Serve as a compliance liaison during regulatory examinations.
Execute projects as assigned by supervisor and/or Compliance senior management Perform ad-hoc special projects as assigned by the Chief Compliance Officer.
Job Qualifications
Bachelor's degree in a related field with fluent knowledge of US financial regulation framework, risk management and industry principles.
Series 7, 79, 63 and 24 certifications. Series 14 a plus.
10+ years of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm.
Highly organized self-starter with excellent judgment and strong attention to detail.
Strong communicator with ability to influence and challenge across all levels of the organization.
Microsoft Office Suite proficient (Outlook, Word, PowerPoint, and Excel).
Contact:
Stan Hamlet Associates Inc
(o) 212-685-4884
(c) 914-953-9028