Assistant Vice President of Compliance

Assistant Vice President of Compliance

About the Company

Premier investment bank

Industry
Investment Banking

Type
Privately Held

About the Role

The Company is seeking an Assistant Vice President of Compliance to join their team. The successful candidate will be responsible for providing real-time advisory services to the capital markets businesses, including ECM, LDCM, and DCM. This role involves identifying regulatory trends and developments that may impact business areas, advising staff on the implications for their activities, and ensuring compliance with firm policies, procedures, and applicable securities laws and regulations. The Assistant Vice President will also be involved in drafting, updating, and implementing relevant policies and procedures, as well as providing regulatory and compliance training. Key responsibilities for the Assistant Vice President of Compliance include assisting the business in implementing and documenting supervisory and control mechanisms, participating in internal investigations, and coordinating both internal and external audits and inspections. The role requires interaction with federal and state regulators, supporting the global compliance monitoring program, and performing testing and monitoring of compliance with firm policies. Additionally, the candidate will be expected to conduct risk assessments to ensure an effective business control framework. The position is critical in maintaining the integrity of the company's operations and requires a proactive and detail-oriented individual with a strong understanding of the regulatory environment.

Travel Percent
Less than 10%

Functions

• Finance