Senior Advisor, GEIB Compliance

Under general direction, uses knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive compliance program with focus on Equity Research and Investment Banking matters. The role involves exposure to all business lines in the development and execution of all aspects of the Compliance program. Contributes to strategic direction, develops tactical plans and completes assignments with a substantial degree of autonomy while ensuring timely and comprehensive reporting and escalation of issues.

Responsibilities

Contributes to the development and maintenance of compliance programs, systems, policies, and procedures; Contributes to the design, implementation and execution of a comprehensive risk-based monitoring and testing program; Provides written and oral advice to stakeholders; Involved in risk reviews, audits, examinations, due diligence, and regulatory change processes; Fosters positive business relationships with stakeholders; Prepares reports, presentations, and regulatory submissions; Provides training to coverage areas; Performs other duties and responsibilities as assigned

Requirements

Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in the financial services industry, compliance, or risk management; or any equivalent combination of experience, education, and/or training approved by Human Resources; Knowledge of concepts, practices, and procedures of securities industry compliance, including three-lines of defense model, information barriers, and the management of conflicts of interest; Knowledge of relevant rules and regulations of the SEC and FINRA, including Rules 5100, 2241, 2210, 3110, 1220, Securities Act Section 5, SEC Rules 138/139, Reg AC, Reg M; Knowledge of financial markets and products, in particular research products and investment banking transaction structures and processes; Skill in assimilating information, applying relevant regulations, providing advice, conducting inquiries, written and verbal communication, preparing reports and presentations, project management, and using standard office equipment and software; Ability to work under pressure on multiple tasks, attend to detail, communicate effectively, establish priorities, recognize escalation needs, continue developing technical skills, and work independently and collaboratively

Nice to have

Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts

Benefits

Medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (vacation, holidays, and sick leave); parental leave; additional compensation (cash or equity), discretionary bonuses, or commissions