Job #: 2892
Title: Compliance Analyst
high level- Need associate level person to assist in day to day coverage of ~300 bankers across Leverage Finance, DCM and IG which includes responding to transaction-related questions, managing IBD specific processes (acquisition financing, pre-marketing, etc.), maintaining information barriers, drafting and editing policies/procedures and conducting surveillances.
covers bankers in Leveraged Financing, Investment Grade, Debt Capital Markets and Transaction & Execution Management (over300bankers in the US)
– manages firms acquisition financing processes by tracking staffing, engaging with Legal/Conflicts, reviewing materials andworkingclosing with bankers globally
– ongoing maintenance and monitoring of our acquisition financing application
– reviews and summarizes committee memos for senior management postings
– conducts programmatic and ad hoc forensics (including real time media reviews) & investigations
– drafts, reviews and publishes policies/procedures
– drafts, conducts and tracks trainings
– handle premarketing (investor scripts, wall crosses, etc.) for bond and loan deals
– liaise with Regulatory Practices Group to respond to regulatory inquiries
– regular touchpoints with Legal
– frequent engagement with Syndicate regarding allocation issues
– reviews market and other client materials prior to distribution
– coordinating across various groups (IBD, Legal, other divisional compliance teams) to address violations, outstandingcompliance items, etc.