Investment Bank Compliance Officer - Origination & Advisory - Vice President

Job Description:

Job Title Investment Bank Compliance Officer - Origination & Advisory

Corporate Title Vice President

Location New York, NY

Overview

You will focus on providing real-time support to the Origination & Advisory business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm. External public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision and other issues that are typical for a large global investment bank.

What We Offer You

• A diverse and inclusive environment that embraces change, innovation, and collaboration
  
• Generous vacation, personal and volunteer days
  
• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
  
• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits

• Provide real-time advisory services to the Origination & Advisory coverage business - this includes identifying regulatory trends and developments that impact business areas
  
• Advise and train business areas on firm policies and procedures and applicable securities laws and regulations
  
• Assist the Business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures
  
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
  
• Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined in the annual monitoring plan
  
• Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework
  

• Excellent oral and written communication skills
  
• Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
  
• Ability to project confidence and professionalism in dealings with senior business personnel
  

• Bachelor's degree or equivalent; JD or MBA a plus
  
• Relevant experience of securities, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered
  

• Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
  
• Knowledge of FINRA, SEC, broker dealer regulations and other relevant bank regulations as well as industry best practices
  
• Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business and other infrastructure functions
  
• Action-oriented and delivery focused with a disciplined approach and an ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in priorities
  
• Ability to project confidence and professionalism in dealings with senior business personnel