Investment Banking Compliance Officer

Full Time

Madison-Davis

EXTERNAL CLIENT ROLE

Description:

Become a member of a business-aligned compliance team that is instrumental in supporting investment banking and capital solutions business in the Americas.

Based in New York, you will report to the regional compliance lead for principal investments playing a key role on a global team that provides real-time risk management and compliance advice to the principal finance and infrastructure investment businesses. You will apply your risk management expertise to review new products and investment opportunities in a variety of sectors including infrastructure, green energy, real estate and technology.

In this role, you will primarily support the capital solutions business conducting the initial review of equity and debt investments to identify key risks in coordination with legal, risk management and operations stakeholders. Your excellent written and communication skills will enable you to coordinate with the business, provide advice and guidance consistent with the firm’s policies and procedures, and work with US based and global stakeholders to draft, update and implement policies and procedures to develop best practices.

Job Requirements:

Having strong interpersonal skills, initiative, and a good eye for detail will be imperative in this role to help manage a fast-paced business environment and to identify regulatory trends and developments that impact investment banking and capital markets, provide compliance training and materials, and assist the business to implement and document various supervisory/control mechanisms. Testing and monitoring of compliance with firm policies and conducting risk assessments of the business to ensure there is an effective business control framework are additional responsibilities in this role.

Having strong interpersonal skills, initiative, and a good eye for detail will be imperative in this role to help manage a fast-paced business environment and to identify regulatory trends and developments that impact investment banking and capital markets, provide compliance training and materials, and assist the business to implement and document various supervisory/control mechanisms. Testing and monitoring of compliance with firm policies and conducting risk assessments of the business to ensure there is an effective business control framework are additional responsibilities in this role.

You should have a partnership mentality and be comfortable working in a team environment while also possessing the ability to work remotely and independently to meet deadlines, all while keeping an open communication with your management team.

Your degree and at least two to five years of experience in financial services, private equity, asset management or related regulated functions, as well as knowledge of global capital markets and understanding of the U.S. regulatory environment are required in this role. An advanced degree (e.g., JD or MBA) or completion of the FINRA series exams is preferred, but not required.

To learn about new job opportunities and industry trends, subscribe to the Madison-Davis newsletter today

Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on
Print