VP, Compliance Officer (Origination & Advisory)

Full Time




You will focus on providing real-time support to the Origination & Advisory Coverage business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm and external public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision and other issues that are typical for a large global investment bank.

Job Responsibilities:

  • Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
  • Advise business areas on firm policies and procedures and applicable securities laws and regulations and draft, update, and implement relevant policies and procedures
  • Provide regulatory/compliance training
  • Assist the business in implementing and documenting various supervisory/control mechanisms
  • Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
  • Interact with federal and state regulators and perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control framework

Job Requirements:

  • Bachelor’s Degree or equivalent; JD or MBA a plus
  • Securities experience, preferably in a global investment bank or law firm; similar experience with a regulator will also be considered
  • Experience in providing legal, regulatory, or compliance advice in connection with investment banking advisory engagements and transactions is essential
  • Strong knowledge of applicable securities laws, rules, and regulations

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