Senior Advisor, GEIB Compliance

Job Description Summary

Under general direction, uses knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive compliance program with focus on Equity Research and Investment Banking matters. The role involves exposure to all business lines in the development and execution of all aspects of the Compliance program. Contributes to strategic direction, develops tactical plans and completes assignments with a substantial degree of autonomy while ensuring timely and comprehensive reporting and escalation of issues.

Job Description

Essential Duties and Responsibilities

• Contributes to the development and maintenance of compliance programs, systems, policies, and procedures to ensure compliance with applicable regulations.

• Contributes to the design, implementation and execution of a comprehensive risk-based monitoring and testing program across all applicable policies and procedures.

• Provision of both written and oral advice to a broad range of stakeholders by applying subject matter expertise, identifying risk considerations as appropriate.

• Involvement in risk reviews, audits, examinations, due diligence, and regulatory change processes.

• Fostering positive business relationships with stakeholders across the firm.

• Preparation of reports, presentations, and regulatory submissions

• Provision of training to coverage areas as required

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, practices, and procedures of securities industry compliance, including three-lines of defense model, information barriers, and the management of conflicts of interest.

• Relevant rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA) specifically Rules 5100 (corporate finance), 2241 (conflicts of interest and research), 2210 (communications with the public, 3110 (supervision), 1220 (registration rules), Securities Act – Section 5, SEC Rules 138/139, Reg AC, Reg M.

• Financial markets and products, in particular research products and investment banking transactions structures and processes. 

Skill in:

• Assimilating information and identifying relevant considerations for analysis.

• Determining and applying relevant regulation, policies and procedures to ascertain obligations.

• Provision of accurate and timely advice to stakeholders.

• Conducting inquiries and investigations.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing both oral and written reports, presentations, and regulatory submissions.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Attend to detail while maintaining a big picture orientation.

• Communicate effectively and professionally, both orally and in writing, with all organizational levels.

• Establish and communicate clear directions and priorities.

• Recognize when issues need escalated.

• Continue to develop both technical skills and subject matter expertise through training. 

• Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in the financial services industry, compliance, or risk management.       

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education