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VP – Capital Markets Compliance Officer

  • NYC
  • Full Time

Apply for the VP – Capital Markets Compliance Officer position

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Large broker dealer located in Midtown Manhattan looking to add a “VP – Capital Markets Compliance Officer” to their team. This position is in a hybrid schedule and would require 4-7 days per month.


• Support the Capital Markets activities from a compliance perspective
• Act as a liaison for the firm in Capital markets related regulatory examinations
• Develop a compliance testing and oversight program for capital markets activities
• Provide transactional and interpretive related advice and guidance to Capital Markets personnel on relevant issues that arise in those business areas
• Provide training to the Capital Markets employees on relevant regulatory issues and interpretations
• Assist in updating the firm’s policies, procedures and written supervisory procedures and internal policies and procedures.
• Conduct surveillance for instances of potentially problematic behavior or patterns of behavior that could be deemed as such by regulatory bodies
• Coordinate with Chief Compliance Officer and other compliance staff on regulatory requests
• Support private wealth and investment advisory related businesses as needed
• Work closely with management and Capital Markets Surveillance and Supervision to implement corrective actions
• Perform other duties as required and assigned