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Compliance Officer – Investment Banking & Capital Markets
| Company | Clear Street |
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| Location | New York, NY, USA |
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| Salary | $175000 – $225000 |
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| Type | Full-Time |
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| Degrees | Bachelor’s |
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| Experience Level | Senior |
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Requirements
- At least five (5) years of professional experience implementing and maintaining compliance programs for investment banking and research.
- Bachelor degree in Finance, Economics, pre-law or other similar discipline.
- Experience facing off with regulators and designing compliance programs for SEC, FINRA and other relevant rules and regulations as it relates to research and investment banking
- Excellent analytical and problem-solving skills, with the ability to interpret complex legal documents.
- Exceptional communication and interpersonal skills, including the ability to explain complex compliance issues clearly and persuasively.
- Ability to be commercial when working with senior stakeholders while balancing business opportunities and compliance needs.
- Proficiency in using compliance monitoring tools and conducting research to address questions.
Responsibilities
- Operationalize the policies, procedures and written supervisory procedures for the investment banking and research divisions and related products including corporate access.
- Conduct compliance reviews, surveillance and monitoring of investment banking transactions to monitor for compliance for SEC, FINRA and other applicable rules and regulations.
- Lead the development and implementation of written policies and procedures for investment banking, research and corporate access.
- Oversee the restricted list, watch list and other control room processes.
- Provide real-time advice and guidance to investment bankers on regulatory and compliance issues, including but not limited to conflicts of interest, regulatory filing requirements, insider trading and market manipulation.
- Provide advice to the sales and trading desks on questions that arise in connection with investment banking transactions and the publication of research.
- Conduct training on compliance matters to foster a culture of compliance across the Clear Street organization.
- Prepare and submit regular compliance reports to senior management.
- Coordinate with Legal and the CCO on compliance issues that impact investment banking, research or corporate access.
- Identify, escalate and assist in the remediation of any compliance issues that arise.
- Prepare and submit responses to regulatory inquiries involving investment banking, corporate access and/or research.
- Stay abreast of new regulations or changes in law and advise on implications for the business.
Preferred Qualifications
No preferred qualifications provided.
