Equity and Fixed Income Research, Investment Banking, and Capital Markets Compliance Coverage Vice President
Core
Vice President in Global Compliance supporting the Research Compliance Coverage function for Equity and Fixed Income Research, with occasional support to Investment Banking and Global Capital Markets.
Role type
Senior IC compliance coverage professional
Builds
Compliance policies, procedures, and oversight metrics for the Research business unit
Domain
Financial services / Investment Banking / Capital Markets / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
U.S. research regulations (SEC, FINRA, CFTC), equity and fixed income products, regulatory monitoring, policy drafting, training delivery, risk assessment
Preferred skills
FINRA Series 86 and 87 licenses, JD degree
Technologies
None stated
Responsibilities
Advise business on U.S. regulations (SEC, FINRA, CFTC), monitor regulatory developments, design and deliver training, draft compliance policies, perform monitoring and testing of research obligations, assist in regulatory inquiries and audits, coordinate with Legal and other business lines, develop oversight metrics
Seniority
Vice President, senior IC