Job Details and Responsibilities
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 and verify all investment banking activities adhere to regulatory requirements and internal policies.
Monitor and enforce compliance with FINRA, SEC, and other relevant regulations.
- Filing Requirements : Conduct 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 a plus.
- 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.
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