Equity and Fixed Income Research, Investment Banking, and Capital Markets Compliance Coverage Vice President
Core
Vice President in Global Compliance providing coverage for Equity and Fixed Income Research, advising on U.S. regulations, monitoring regulatory developments, and designing compliance training.
Role type
Senior IC compliance professional (Vice President)
Builds
Firmwide Compliance Risk Management program for Research, Investment Banking, and Capital Markets
Domain
Financial Services / Investment Banking / Capital Markets / Compliance
Deliverable
dashboards & analysis
Required skills
U.S. Research regulations (SEC, FINRA, CFTC), Equity and Fixed Income products, Compliance policy drafting, Regulatory monitoring, Training delivery, Risk assessment
Preferred skills
JD, FINRA Series 86 and 87 licenses
Technologies
None stated
Responsibilities
Advise business on U.S. regulations (SEC, FINRA, CFTC), Monitor regulatory developments and trends, Design and deliver compliance training, Draft and maintain compliance policies and procedures, Perform monitoring, testing, and surveillance of Research-related obligations, Assist in regulatory inquiries and internal audits, Coordinate with Legal and Compliance coverage across business lines and regions, Develop oversight metrics for supervisors
Seniority
Senior, hands-on IC