Job #: 2892

Title: Compliance Analyst


  • New York City, NY
  • Job Type:

  • Contract
  • Contract Pay Rate:
  • $25-50
    • Anywhere
    • Posted 1 month ago

    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.


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