Job #: 2457

Title: Capital Markets Compliance Officer


  • New York City, NY
  • Job Type:

  • Contract
  • Contract Pay Rate:
  • $75-100
    • Anywhere
    • Posted 11 months ago

    Essential Duties & Responsibilities:

    This position is for an ECM Compliance Officer.  Depending on the candidate, the role can be structured as blended ECM, DCM and Control Group

    Assist and advise on Equities and Fixed Income Capital Markets transactions
    Advise on block trades, Regulation M, and Greenshoe options
    Review and clear transactional conflicts
    Maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
    Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies

    Required Background & Skills:

    Seeking a highly-motivated individual who is willing to actively participate as part of the Compliance team.  The candidate must:
    Think analytically and provide advice based on sound judgment
    Understand Capital Markets rules and transactions
    Work effectively in a team environment and foster effective relationships
    Be able to react in a fast-paced environment, managing a wide variety of requests
    Be able to work positively and make decisions under time pressure
    Be able to interpret and apply SEC, FINRA and other regulatory rules

    Bachelors with 3-6 years relevant Legal or Compliance experience, including in Capital Markets Compliance or Control Group. Masters or J.D. a plus.​

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