Head of Private Market Compliance

Full Time

Investment Banking Client

Office Status: Hybrid

The group works closely with Legal, Risk, IT, Operations, and other areas within Compliance when executing the responsibilities. The person performing this advisory position will be responsible for the design, implementation and management of the overall compliance program for their coverage areas.

Job Responsibilities

  • Lead Compliance support to the Global Private Market business unit.
  • Provide regulatory and compliance advice and guidance to the business, as well as to the Regulatory Examination Group, the Early Dispute Resolution Unit, Operations, and Risk Units.
  • Conduct research and interpret applicable laws, regulations and guidance (or assist in research and interpretation), and provide guidance to the Global Private Market business group regarding compliance with such laws, regulations and guidance.
  • Create new Compliance policies and procedures for emerging opportunities, including, but not limited to, private market secondary stock trading and Reg ATS transactions.
  • Review the adequacy of existing policies and procedures of the Global Private Market business group and, if appropriate, recommend and assist in implementing improvements in those areas.
  • Drive design and maintenance of written supervisory procedures for the Global Private Market business group, as prescribed in FINRA Rules 3110 and 3120.
  • Identify regulatory trends and developments, and assist in providing advice to the Global Private Market business group on how such trends and developments may impact its current activities, and work with the business group to implement any required changes to current policy or practices.
  • Assist with the review of marketing materials for the Global Private Market business group and the Compliance Marketing Review team.
  • Collaborate extensively with the relevant Global Private Market business management teams, various control and operations functions, along with Legal and Risk to ensure compliance with regulatory requirements and Firm policies and procedures
  • Assist in regulatory reviews, audits and other examinations.
  • Provide advice and guidance on FINRA, NYSE and SEC rules, regulations, and applicable internal policies and procedures.
  • Conduct compliance risk assessments and coordinate with business leads to identify and resolve control gaps.
  • Work with the Compliance Monitoring and Testing teams to create/enhance surveillance, monitoring, and testing processes.
  • Lead key projects and strategic initiatives relating to regulations/rules for specific products or business services.

Job Requirements

  • Knowledge of or familiarity with all of the following is preferred: stock plan administration, private company secondary market stock trading, and Reg ATS operations & requirements.
  • Knowledge of or familiarity with Financial Services Industry rules and regulations and ability to analyze and assess new rules and regulations.
  • Basic knowledge of broker-dealer regulatory compliance including FINRA, NYSE and SEC regulations.
  • Strong verbal, written communications and organizational skills.
  • Solid academic background.
  • Solid interpersonal and communication skills, as well as excellent prioritization and organizational ability.
  • Must be confident and professional in all dealings with business personnel and senior management.
  • The ideal candidate will be proactive, possess good judgment, be solution-oriented and a team player.
  • Ability to lead or assist in leading special projects and strategic initiatives
  • Work independently and to multi-task with minimal supervision
  • Demonstrate ability to effectively review and analyze complex situations and apply good judgment to resolve issues in a timely manner with minimal supervision
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