Senior Compliance Officer

Job Description

Job Description

Job title: Senior Compliance Officer

Location NYC

Work schedule: Ideally hybrid (2 days in the office 3 days from home).

·         10 years of experience

·         Experience with Safe Harbor Analysis, Fin Ra, and Wealth Restricted List 

·         Contractor for 3 months, replacing someone on leave. 

·         Prefer a local candidate for hybrid work initially.  If that does not work out, we would consider a remote candidate.

·         2 rounds interview: one video then 1 in person

·         Wants to see a VP or Director level person in their title. Replacing a Director

·         Someone from Equity Research Compliance

·         Must have experience with Research Clearance and chaperoning. 

Job Description:

·         Essential Duties & Responsibilities of Senior Compliance Officer with Focus on Equity Research

·         This position is for a Control Room/Equity Research Compliance Officer.

·         Serve as the Compliance Subject Matter Expert on Information Barriers   

·         Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.

·         Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies

·         Advise Equity Research regarding use of experts and expert networks

·         Assist the business with research vettings from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research

·         Review and approve equity research as needed 

·         Respond to Internal Audit and regulatory inquiries

·         Execute projects as assigned by supervisor and/or Compliance senior management.

·         Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.

·         Conduct training of the equity research staff during onboarding, add-hoc and annual compliance training

·         Assist on the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams

·         Stay abreast of rule changes as they apply to equity research.

Skills Required:

·         Think analytically and provide advice based on sound judgment

·         Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the ’34 SEC Act), research rules (e.g., FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M 

·         Work effectively in a team environment and foster effective relationships

·         Be able to react in a fast-paced environment, managing a wide variety of requests

·         Be able to work positively and make decisions under time pressure

·         Be able to interpret and apply SEC, FINRA and other regulatory rules

·         Flexibility and the ability to multitask – nontraditional hours required to support business lines.

·         Required years of experience: minimum 10 years of relevant experience.

Education requirements:

Bachelor’s degree, masters preferred, FINRA licenses preferred.