Head Of Private Markets Compliance

Full Time

Financial Services Client

Office Status: Hybrid (3 days per week in office)

Responsibilities:

  • 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 at Work/Shareworks 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 at Work/Shareworks 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 at Work/Shareworks 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 at Work/Shareworks 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 at Work/Shareworks Global Private Market business group and the Compliance Marketing Review team.
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