VP, Employee Investment Program Compliance Officer

Full Time

Investment Banking Client

Office Status: Hybrid (3 days per week in office)

Responsibilities:

  • Serve as lead Compliance Officer responsible for the oversight and monitoring of personal and related trading accounts maintained by employees.
  • Serve as lead Compliance Officer responsible for reviewing and approving, employee outside business activities and private investments requests.
  • Provide employees Compliance guidance relevant to policies and regulatory requirements on personal account trading, private investments, and outside business activities.
  • Conduct daily surveillance of employee personal account trading, outside business activities and private investments.
  • Daily responsibilities would include, evaluating exceptions, raising breaches, preparing management reportingly, liaising with broker dealers maintaining accounts for employees and administering the annual compliance certification.
  • Collaborate with regional and global colleagues across departments to design and implement program enhancements, review new or amended Industry regulations and best practices.
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