The Company

My client is a leading financial institution committed to maintaining the highest standards of regulatory compliance and ethical business practices. We are looking for an experienced Senior IBD Compliance Officer to join our Compliance team and support our Investment Banking Division (IBD).

The Role

• Provide strategic compliance guidance to investment bankers and senior management on regulatory requirements, policies, and best practices.
• Ensure adherence to global and regional regulatory frameworks, including SEC, FINRA, FCA, MiFID II, and other relevant financial regulations.
• Develop, implement, and enhance compliance policies and procedures to mitigate regulatory and reputational risks.
• Conduct compliance risk assessments and proactively identify areas for improvement.
• Review and approve client communications, deal-related materials, and marketing documents to ensure compliance with regulatory standards.
• Oversee conflicts of interest management, including information barriers, insider trading prevention, and restricted lists.
• Lead compliance training programs for investment bankers and relevant stakeholders on key regulatory topics.
• Monitor and conduct surveillance of IBD activities, identifying and escalating potential compliance breaches.
• Support regulatory inquiries, audits, and examinations, ensuring timely and accurate responses.
• Collaborate with legal, risk management, and other compliance teams to maintain a robust compliance framework.

Your Profile

• Bachelor's degree in Finance, Law, Business, or a related field; an advanced degree or relevant certifications (e.g., CAMS, CFA, JD, or FINRA licenses) is a plus.
• 10+ years of compliance experience within investment banking, capital markets, or a regulatory agency.
• Strong knowledge of investment banking regulations, including SEC, FINRA, FCA, MiFID II, and other global regulatory frameworks.
• Proven experience in advising senior stakeholders and handling complex compliance matters.
• Excellent analytical and problem-solving skills, with the ability to assess regulatory risks and provide practical solutions.

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.

Reference No. 67010-0013177993

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