Investment Banking Compliance and Supervision Officer -...

Job Overview:We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus on supervisory responsibilities. The ideal candidate will be adept at ensuring regulatory compliance, overseeing filing requirements, and maintaining effective supervisory controls within the investment banking division. Key Responsibilities:Compliance Oversight: Ensure all investment banking activities adhere to regulatory requirements and internal policies. Monitor and enforce compliance with FINRA, SEC, and other relevant regulations.Supervisory Role: Oversee and review the work of compliance staff, providing guidance and training as needed to ensure adherence to best practices and regulatory standards.Filing Requirements: Manage the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness in compliance with industry regulations.Risk Management: Identify and assess potential compliance risks, implementing strategies to mitigate these risks effectively.Policy Implementation: Develop and enforce compliance policies and procedures, ensuring they are updated in line with regulatory changes and industry developments.Audit Support: Coordinate with internal and external auditors, providing necessary documentation and addressing any findings or concerns. Qualifications:Experience: 3-5 years of experience in investment banking with a proven track record in a supervisory role. Strong understanding of compliance and supervisory functions within the investment banking sector.Licenses: Series 7, 24, and 79 required. Skills: Excellent analytical skills with the ability to interpret complex regulations. Strong communication and leadership skills to effectively manage and guide compliance teams. Proficiency in regulatory filing and processing. Education:Bachelor's degree in Finance, Accounting, Business Administration, or a related field. Advanced degrees or relevant certifications are a plus.

Created: 2024-11-03