Director Compliance Advisory

Hamlyn Williams; New York (NY); Hybrid; USD 180,000 - 240,000; Full time

Job summary

An established industry player is seeking a skilled Director of Compliance Advisory to lead their compliance programs in Investment Banking. This pivotal role involves designing and implementing best-in-class compliance policies, ensuring adherence to regulatory requirements, and providing strategic oversight across global operations. The ideal candidate will have extensive experience in compliance advisory, a strong grasp of securities laws, and a passion for navigating complex regulatory landscapes. Join a dynamic team committed to excellence in compliance and make a significant impact in a fast-paced environment.

Qualifications

• 7+ years of compliance advisory experience, preferably with a regulator or law firm.
• Strong knowledge of securities laws and regulations impacting investment banking.

Responsibilities

• Design and maintain compliance programs and policies for Investment Banking.
• Lead the Investment Banking Compliance team and manage regulatory developments.

Skills

Compliance Advisory

Regulatory Knowledge

Investment Banking Knowledge

Project Management

Education

Bachelor's Degree

JD (Juris Doctor)

Job description

Director – Compliance Advisory

NYC, NY – Hybrid: 2 days in office

Base pay range

$180,000.00/yr - $240,000.00/yr

As the Director – Compliance Advisory, you will:

• Design, develop, deliver and maintain best-in-class programs, policies and practices globally for Investment Banking Compliance.
• Direct day-to-day activities of the Investment Banking Compliance team in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits.
• Ensure comprehensive and robust policies and procedures (including written supervisory procedures) governing investment banking, securities underwriting, private placements.
• Provide strategic vision to the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific. Lead the provision of expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.
• Oversee the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions. Analyze and scope the impact of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact.
• Lead initiatives and manage high-impact special project work streams with a results-driven focus to deliver solutions, including the coordination of global implementations of new regulatory requirements.

As the Director – Compliance Advisory, you will need:

• Bachelor's degree or progressive work experience; JD is a plus.
• 7+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
• Knowledge of Corporate Investment Banking and Capital Markets.
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact, specifically FED, FINRA, SEC, CFTC, NYSE, and OCC.
• Must be a U.S. Citizen or Green Card Holder.

Seniority level

Director

Employment type

Full-time

Job function

Legal

Industries

Banking