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.