Regulatory Compliance Officer
Stan Hamlet Associates Inc
Job Description
Job Description
Regulatory Compliance Officer
About the Company:
Respected International Investment Bank, specializing in technology, life sciences, cryptocurrencies and emerging privately held companies.
Services include capital raising, merger and acquisition advisory, equity research, and institutional trading.
The firm is a Registered Broker-Dealer,with the U.S. Securities and Exchange Commission and a member of FINRA, SIPC, and NASDAQ.
Job Responsibilities:
· Provide real-time advice to Investment Banking and Capital Markets on Regulation BI, Regulations and other applicable regulatory requirements related to public and private offerings .
· Advise Business Lines, Legal, and Compliance staff on information barriers, sensitive information policies.
· Provide Compliance and regulatory guidance advice to Equity Research department regarding Rule 2241, Regulation AC, and the Global Research Settlement.
· Create and manage effective action plans in response to any identified compliance deficiencies.
· Develop and maintain effective Written Supervisory Procedures relating to any and all firm activities.
· Advise Equity Research and Corporate Access regarding use of experts and expert networks.
· Advise Senior Management on new laws/regulations and their related impact on businesses.
· 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.
· Monitor electronic communications, trading activities and escalate potential compliance issues.
.Mentor and supervise Compliance staff.
· Prepare and file FINRA Gateway filings such as Form BD, Forms U4 and U5, and responses to 8210 Requests.
· Assist in maintaining the Firm’s Watch and Restricted Lists, including seeking and responding to updates from investment banking teams.
· Conduct training of the equity research, public and private side staff during onboarding, add-hoc and annual compliance training.
· Serve as a compliance liaison during regulatory examinations.
· Responsible for projects as assigned by supervisor and/or Compliance senior management Perform ad-hoc special projects as assigned by the Chief Compliance Officer.
Qualifications:
·Bachelor degree in Finance related field
Masters degree preferred
· Series 7, 79, 63 and 24 certifications.
. 10+ years of Compliance experience within a Broker Dealer, Regulatory, and/or Compliance Consulting firm.
· Strong communicator with ability to discuss and challenge across all levels of the organization.
.Control and lead special projects as they arise
· Microsoft Office Suite proficient (Outlook, Word, PowerPoint, and Excel).
The Firm offers a high salary,bonus and excellent work/life balance.
Interested candidates contact:
Stan Hamlet
Stan Hamlet Associates Inc
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