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Compliance Officer – Investment Bank Compliance – Vice President

  • NYC
  • Full Time

Apply for the Compliance Officer – Investment Bank Compliance – Vice President position

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Investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Investment Bank Compliance – – Vice President” to join their team. The firm is currently in a hybrid model (4 days in office).

 

Responsibilities:

• Provide real-time advisory services to the Investment Bank with specific coverage of Origination and Capital Markets business groups – this includes identifying regulatory trends and developments that impact business areas

• Advise business areas on firm policies and procedures and applicable securities laws and regulations

• Assist the business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures – this includes training

• Participate in internal investigations, respond to regulatory inquiries (this includes interaction with federal/state regulators), and coordinate internal and external audits and inspections

• Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan

• Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control framework