Equity and Fixed Income Research, Investment Banking, and Capital Markets Compliance Coverage Vice President
Core
Vice President in Global Compliance providing regulatory oversight and risk management for Equity and Fixed Income Research, with occasional support to Investment Banking and Capital Markets.
Role type
Senior IC compliance professional (VP level)
Builds
Compliance policies, training programs, and regulatory monitoring frameworks 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
JD, Series 86 and 87 licenses, investment research conflict of interest concepts
Technologies
None stated
Responsibilities
Advise business on U.S. regulations (SEC, FINRA, CFTC), monitor regulatory developments and ensure compliance, design and deliver training, draft and maintain compliance policies, perform monitoring and testing of research obligations, assist in regulatory inquiries and audits, coordinate with Legal and Business Control Unit, develop oversight metrics for supervisors
Seniority
Senior, hands-on IC with mentorship responsibilities