Attorney in New York City, NY

In-House

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

Min 5 yrs required

No

Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets - Vice President

Job Description:

- Provide real-time advisory services to the Capital Markets businesses (., ECM, Leverage Debt Capital Markets (LDCM), Debt Capital Markets (DCM))
- Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
- Advise business areas on firm policies and procedures and applicable securities laws and regulations
- Draft, update, and implement relevant policies and procedures
- Assist the Business in implementing and documenting various supervisory/control mechanisms
- Support the global compliance monitoring program
- Perform testing and monitoring of compliance with firm policies
- Conduct risk assessments of the Business to ensure effective business control framework

Title: Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets

Department: Compliance

Company: **MEMBERS ONLY**SIGN UP NOW***.

Location: New York, NY

Type: Full Time

Experience: Relevant experience in securities, preferably in a global investment bank or law firm

Education: Bachelor’s degree or equivalent; JD or MBA a plus

Corporate Title: Vice President

Salary Range: $125, to $203,

Overview:

**MEMBERS ONLY**SIGN UP NOW***. is seeking a Compliance Officer to join their Investment Bank Compliance team in New York. This role will focus on providing real-time support to the Origination & Advisory Capital Markets business, which includes investment banking advisory engagements and capital markets products and services. The Compliance Officer will be responsible for advising on issues related to confidential information, communications with the public-side of the Firm, external public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision, and other issues typical for a large global investment bank.

What We Offer You:

- A diverse and inclusive environment that embraces change, innovation, and collaboration
- A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
- Employee Resource Groups that 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
- Educational resources, matching gift and volunteer programs

Responsibilities:

- Provide real-time advisory services to the Capital Markets businesses
- Identify regulatory trends and developments
- Advise business areas on firm policies and procedures and applicable securities laws and regulations
- Draft, update, and implement relevant policies and procedures
- Assist the Business in implementing and documenting various supervisory/control mechanisms
- Support the global compliance monitoring program
- Perform testing and monitoring of compliance with firm policies
- Conduct risk assessments of the Business

How You’ll Lead:

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

Skills You’ll Need:

- Bachelor’s degree or equivalent; JD or MBA a plus
- Relevant experience in securities, preferably in a global investment bank or law firm
- Functional knowledge of FINRA, Securities and Exchange Commission (SEC), broker dealer regulations, and other relevant bank regulations
- Strong written and verbal communication and presentation skills
- Action-oriented and delivery focused with a disciplined approach
- Ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy
- Ability to react quickly to changes in priorities

Skills That Will Help You Excel:

- Experience in providing legal, regulatory, or compliance advice in connection with investment banking advisory engagements and transactions
- Knowledge of Regulation M, SEC 10b-18 and 10b5-1, as well as industry best practices
- Ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business, and other infrastructure functions
- Ability to project confidence and professionalism in dealings with senior business personnel

Expectations:

It is the Bank’s expectation that employees hired into this role will work in the Jacksonville office in accordance with the Bank’s hybrid working model. **MEMBERS ONLY**SIGN UP NOW***. provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

**MEMBERS ONLY**SIGN UP NOW***. Benefits:

At **MEMBERS ONLY**SIGN UP NOW***., we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home.

Learn more about your life at **MEMBERS ONLY**SIGN UP NOW***. through the eyes of our current employees: ****

The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of **MEMBERS ONLY**SIGN UP NOW***.’s California Privacy Notice, please email ****.

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative, and working collaboratively. Together we share and celebrate the successes of our people. Together we are **MEMBERS ONLY**SIGN UP NOW***. Group.

We welcome applications from all people and promote a positive, fair, and inclusive work environment. We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.