Investment bank located in Midtown Manhattan looking to bring on board a VP, Employee Investment Program Compliance Officer to join their team.
The role is currently in a hybrid schedule (3 days in the 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.
VP, Employee Investment Program Compliance Officer
Investment bank located in Midtown Manhattan looking to bring on board a “VP, Employee Investment Program Compliance Officer” to join their team. Serve as lead Compliance Officer responsible for reviewing and approving, employee outside business activities and private investments requests. Serve as ...
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