Director, Investment Banking Compliance Advisory
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-08-09
Listing for:
JCW Group
Full Time
position Listed on 2026-08-09
Job specializations:
-
Finance & Banking
Corporate Finance, Regulatory Compliance Specialist, Capital Markets -
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
JCW Group seeks a Director of Advisory Compliance to lead compliance for its Investment Banking activities, including Corporate Finance, Advisory, Capital Markets, and Underwriting. You will be the principal advisor to senior bankers on M&A, capital markets, and underwriting matters, owning the firm’s IB compliance framework and information barriers.
You will oversee conflicts management, policy development, and supervision, while ensuring compliance with SEC, FINRA, Reg M/FD, and research
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