Research Compliance Advisory – VP

Full Time

International Banking Client

Office Status: Hybrid (2 days per week)

Salary: $140,000 – $180,000

Responsibilities:

  • Serve as Compliance Subject Matter Expert (“SME”) for Equity Research Department
  • Provides advice on regulatory and compliance requirements to business unit management and staff so that they may conduct business in conformance with regulatory requirements.
  • Ability to provide guidance to investment banking, research and sales on permitted and prohibited communications and interactions.
  • Understanding of the operations of the Equity Research Department
  • Monitor information barriers, flow of MNPI and confidential research information.
  • Advises business units on the maintenance of their procedures with a focus on the current compliance framework as a reference point.
  • Conduct trainings of Research personal during onboarding and on ad-hoc basis
  • Advise on use of experts and expert networks.
  • Ability to preclear research reports and chaperone is preferred.
  • Knowledge of Research safe harbors is mandatory.
  • Liaise with EMEA and Tokyo and other affiliates to ensure consistency of the Globally Branded Research
  • Proactively engages with Compliance, Legal, Business Controls and other control function colleagues to enhance the overall Compliance program.
  • Escalates regulatory concerns and other significant matters to senior management.
  • Advises and provides regulatory guidance on establishing a reasonably designed supervisory system.
  • Participates in monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
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