Associate, Advisory Compliance - Global Banking Division

Madison-Davis, LLC; United States; Hybrid; USD 90,000 - 140,000; Full time

Job summary

A leading investment bank located in Midtown Manhattan is seeking an Associate for their Advisory Compliance within the Global Banking Division. This hybrid role focuses on providing compliance guidance, managing regulatory developments, and contributing to a robust compliance program. Ideal candidates will have strong analytical skills and experience in investment banking compliance. This opportunity offers a dynamic work environment with significant responsibilities.

Qualifications

• Experience in compliance within an investment banking environment is preferred.
• Strong analytical skills to evaluate regulatory impacts.
• Ability to provide strategic compliance advice.

Responsibilities

• Provide strategic compliance advice to teams.
• Contribute to the design of a compliance program.
• Monitor regulatory developments impacting compliance.
• Ensure team activities align with the firm's risk culture.
• Analyze regulatory and compliance developments.
• Participate in industry groups to stay informed.
• Oversee investigations into compliance issues.
• Support compliance training programs.

Job description

Associate, Advisory Compliance - Global Banking Division

An investment bank located in Midtown Manhattan looking to bring on board a “Associate, Advisory Compliance - Global Banking Division” to join their team. This role is currently in a hybrid schedule (4 days in office / week).

Responsibilities

• Provide strategic, day-to-day compliance advice and guidance to front office and control function teams on public and private offerings of equity and debt securities.
• Contribute to the design and implementation of a global Investment Banking Compliance program and Control Room spanning Canada, the U.S., Europe, and Asia Pacific.
• Monitor and assess regulatory developments, enforcement actions, and new or amended laws, rules, and guidance impacting Investment Banking Compliance across multiple jurisdictions.
• Ensure team activities align with the firm’s risk culture, appetite, and established limits.
• Analyze and evaluate the impact of new and complex regulatory and compliance developments across business lines, products, and regions.
• Participate in industry groups, trade associations, and working forums to stay informed on evolving best practices.
• Oversee and manage investigations into potential compliance issues, ensuring appropriate escalation and timely remediation or corrective actions.
• Support the development and delivery of compliance training programs for front office and control function staff.