Investment Banking Compliance Officer

About the role

A growing investment banking client is seeking a seasoned compliance professional with deep expertise in Investment Banking, Capital Markets, and Research regulatory frameworks.

Responsibilities

• Act as the primary compliance advisor to the Investment Banking team, providing guidance on regulatory requirements, conflicts management, and supervisory obligations.
• Develop, implement, and maintain firm compliance policies supporting Investment Banking and Research activities.
• Create, enhance, and maintain Written Supervisory Procedures (WSPs) related to Investment Banking and Research.
• Serve as the firm’s Investment Banking Compliance Subject Matter Expert, overseeing the design and enforcement of information barriers between Investment Banking, Sales, and Research.
• Manage the development and administration of Restricted and Watch Lists associated with Investment Banking engagements.
• Partner with Investment Banking, Research, Sales, and external parties by participating in internal and client-facing meetings to ensure compliance considerations are addressed.
• Coordinate with third-party vendors and compliance service providers that support Investment Banking operations.
• Conduct ongoing reviews of Investment Banking business practices to identify control gaps, regulatory risks, and operational inefficiencies; recommend and help implement process improvements.
• Supervise Research analyst compliance, including the review and approval of research reports prior to publication and oversight of proper distribution.
• Act as a key liaison between Investment Banking, Research, and Sales, ensuring adherence to firm information barrier policies ("Chinese Wall") and conflict-of-interest controls.

Requirements

• Extensive knowledge of SEC rules, FINRA regulations, and applicable client regulations.
• Strong working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Advisers Act of 1940.
• Series 79 license is required.