Job #: 2457
Title: Capital Markets Compliance Officer
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
Qualifications:
Bachelors with 3-6 years relevant Legal or Compliance experience, including in Capital Markets Compliance or Control Group. Masters or J.D. a plus.
