Senior Compliance Officer

We are seeking an experienced Senior Compliance Officer to support the firm's Equity Research business and serve as a trusted advisor to business leaders, Legal, and Compliance partners. This individual will play a critical role in overseeing the firm's Control Room and Information Barrier framework, ensuring compliance with SEC, FINRA, and internal regulatory requirements. The ideal candidate will have deep expertise in Equity Research Compliance and Investment Banking Compliance, with the ability to provide practical regulatory guidance, manage sensitive information, and build strong relationships across front office and control functions in a fast-paced environment. Key Responsibilities Serve as the primary Compliance subject matter expert for Information Barriers, Control Room activities, and Equity Research, advising business partners on MNPI, wall crossing procedures, need-to-know policies, and the appropriate use of expert networks. Partner closely with Equity Research, Investment Banking, Legal, and other business stakeholders to facilitate research vetting, coordinate wall crossings, and chaperone meetings involving sensitive information. Review and approve Equity Research publications while maintaining the firm's Global Watch and Restricted Lists, ensuring compliance with applicable regulatory requirements and internal policies. Provide day-to-day compliance guidance by interpreting SEC, FINRA, and firm policies, helping business partners navigate complex regulatory matters and mitigate compliance risk. Develop, maintain, and enhance compliance policies, procedures, and internal controls, while identifying opportunities to strengthen the overall compliance framework. Respond to Internal Audit requests, regulatory examinations, and compliance inquiries, partnering with key stakeholders to address findings and support remediation efforts. Deliver onboarding, annual, and ad hoc compliance training to Equity Research professionals and remain current on evolving regulatory developments impacting the business. Participate in strategic compliance initiatives, regulatory projects, and other responsibilities assigned by senior Compliance leadership. Required Qualifications Minimum 10 years of Compliance experience supporting Equity Research, Control Room, Information Barrier, or Investment Banking Compliance within a broker‑dealer or investment bank. Strong working knowledge of Information Barriers, Material Nonpublic Information (MNPI), wall crossing procedures, need-to-know policies, and expert network oversight. Experience interpreting and applying SEC regulations, including Section 15(g) of the Securities Exchange Act, Regulation M, FINRA Rules 2241 & 2242, the Global Research Settlement, and applicable Safe Harbor provisions. Hands‑on experience reviewing and approving Equity Research publications, maintaining Watch and Restricted Lists, and supporting interactions between Equity Research and Investment Banking. Proven ability to provide practical compliance advice to Front Office business leaders, Legal, and senior management while balancing regulatory requirements with business objectives. Experience responding to regulatory examinations, Internal Audit inquiries, and developing policies, procedures, and compliance training programs. Excellent analytical, organizational, and communication skills with the ability to manage multiple priorities, exercise sound judgment, and thrive in a fast‑paced environment. Bachelor's degree required; Master's degree and FINRA licenses are preferred. #J-18808-Ljbffr