Apply for the VP- Investment Banking Compliance Coverage Officer position

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Investment bank located in Midtown Manhattan looking to bring on board an “VP Investment Banking Compliance Coverage Officer” to join their team. This role is currently in a hybrid capacity (3 days per week).

Responsibilities:

•Provide regulatory and Firm compliance policy advice / guidance to Equity Capital Markets, as well as Debt Capital Markets and Syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers
•Identify and prioritize regulatory and compliance risks associated with Capital Markets, align, and execute the Capital Markets compliance program, and conduct periodic compliance risk assessments.
•Develop and implement relevant compliance policies and procedures.
•Develop and conduct relevant training.
•Coordinate with business, Control Room, and Legal regarding the Firm’s information barrier policy, and to manage conflicts of interest.
•Coordinate with internal audit and testing teams, as well as regulators / regulatory responses.
•Provide guidance to business management with respect to supervision structure, process, and responsibilities.
•Coordinate compliance issue management, escalation, and reporting.
Effectively partner, and work closely with other Compliance teams, including Control Room; Markets Compliance Coverage team, etc
•Proficient knowledge of the rules and regulations relating to US and foreign Investment Banking and Capital Markets operations.