Compliance Officer - Investment Bank Compliance -Investment Banking and Capital Markets - Vice

Job Title Compliance Officer - Investment Bank Compliance
-Investment Banking and Capital Markets

Corporate Title Vice President

Location New York, NY

As a Compliance Officer in Investment Banking and Capital Markets, you will provide real-time support to the Investment Banking businesses, with a focus on Coverage Banking, Debt Capital Markets and Leveraged Debt Capital Markets. These businesses focus on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. You will be expected to advise on issues (questions, problems or proposals) related to confidential information and information barriers, underwriting, marketing and selling securities offerings, internal controls, supervision, communications with the public-side of the Firm and external public-side investors, and other issues that are typical for a large global investment bank.

You will also be expected to substantively contribute to the creation and maintenance of policies owned by the Compliance team and to the Compliance Risk Assessment process.

• A diverse and inclusive environment that embraces change, innovation, and collaboration
• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
• Educational resources, matching gift and volunteer programs

• You will provide real-time advisory services to the Firm's investment banking businesses
• You will identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
• You will advise business areas on firm policies and procedures and applicable securities laws and regulations, draft, update, and implement relevant policies and procedures, and provide regulatory/compliance training
• You will assist the business in implementing and documenting various supervisory/control mechanisms, participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
• You will interact with federal and state regulators, support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined in the annual monitoring plan
• You will perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure an effective business control framework is in place

• You will partner with senior business leaders and control functions across the Investment Banking and Capital Markets platform
• You will collaborate with Compliance colleagues across the Americas organization
• You will coordinate with global Compliance teams supporting Investment Banking and Capital Markets

• Bachelor's degree or equivalent; JD or MBA a plus
• Experience in the securities industry, preferably in a global investment bank or with a regulator
• Expertise in working with capital markets and traditional investment banking regulatory requirements and non-financial risk
• Ability to work across geographic & cultural boundaries to achieve organizational goals & objectives
• Ability to make decisions independently and to escalate urgent matters to senior leaders with the appropriate key facts

• Experience in providing legal, regulatory or compliance advice in connection with coverage banking, mergers and acquisitions, and/or capital markets is preferred
• Functional knowledge of Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations and other relevant bank regulations related to investment banking as well as industry best practices
• Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior…