Capital Markets Compliance Temp


Investment Firm Client

Office Status: Remote

Job Responsibilities

  • Support the Capital Markets activities from a compliance perspective
  • Act as a liaison for the firm in Capital markets related regulatory examinations
  • Provide transactional and interpretive related advice and guidance to Capital Markets personnel on relevant issues that arise in those business areas
  • Assist in updating the firm’s policies, procedures and written supervisory procedures and internal policies and procedures.
  • Coordinate with Chief Compliance Officer and other compliance staff on regulatory requests
  • Work closely with management and Capital Markets Surveillance and Supervision to implement corrective actions
  • Perform other duties as required and assigned
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