Global Banking Equity Capital Markets Compliance Coverage

About the role

Are you risk-aware with strong independence and judgment? Can you assess risks in a fast-paced environment and provide clear guidance? As a Global Banking compliance specialist, you’ll deliver day-to-day advice on policies and regulations across the business, including:

Responsibilities

• Lead coverage and oversight for the Equity Capital Markets business within Global Banking, including private capital markets and convertibles origination
• Coordinate within the team to support Global Banking Americas, providing consistency and backup across debt and leveraged finance capital markets and other areas
• Support business growth and change initiatives across capital markets, including post-settlement advisory, special equity solutions, and collaboration with Global Wealth Management
• Partner with senior management across Global Banking and stakeholders in Compliance, Legal, Risk, and Conflicts to provide guidance and effective challenge
• Support expansion of the early-stage company network to drive growth in equity capital markets
• Represent Compliance in global, regional, and cross product committees, contributing thought leadership
• Act as a subject matter expert on laws, rules, and regulations, working with global peers across research, markets, and control room functions to ensure consistency
• Support adherence to SEC and FINRA requirements, including Regulation M, IPO rules (5130/5131), Rule 5190, TRACE reporting, and information barrier and conflicts management
• Participate in approval committees for higher risk clients or ECM transactions
• Draft and maintain policies, procedures, and training materials
• Guide and support junior team members
• Advise supervisors on first line responsibilities
• Support regulatory exams and inquiries
• Complete compliance risk assessments and evaluate control effectiveness
• Perform thematic reviews to identify emerging risks

Requirements

15+ years of experience in compliance, legal, or risk control, including direct capital markets coverage

Experience leading senior coverage for a high profile, growing investment banking business

Proven ability to drive sustainable change and strengthen the control environment

Strong relationship management skills with the ability to connect across teams and functions

Strong analytical and problem solving skills with sound judgment

Clear and effective written and verbal communication skills

Qualifications

Curiosity to explore how AI can improve workflows

Sound judgment in validating outputs and aligning with policies, risk standards, and ethical use

Skills

Expertise in laws, rules, and regulations related to capital markets

Ability to work collaboratively across various teams and functions

Benefits

The indicative gross base salary range as a full-time equivalent role: United States - New York - New York min USD 190000 - max USD 290000 /annum

Pay

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level.

Schedule

Full Time