VP, Advisory Compliance - Global Banking Division

Madison-Davis, LLC; United States; Hybrid; USD 150,000 - 180,000; Full time

Job summary

A prestigious investment bank located in Midtown Manhattan is seeking a VP, Advisory Compliance for their Global Banking Division. This mid-senior level role entails providing strategic compliance advice, managing investigations, and contributing to a comprehensive compliance program. The position is hybrid, requiring four days in the office and offers a competitive salary range of $150,000 to $180,000 per year. Ideal candidates will possess strong analytical skills and experience in regulatory compliance within financial services.

Qualifications

• Experience in providing compliance advice and guidance in financial services.
• Knowledge of regulatory developments affecting investment banking.
• Ability to analyze complex regulatory frameworks.

Responsibilities

• Provide strategic compliance advice to front office teams.
• Contribute to a global Investment Banking Compliance program.
• Analyze impacts of regulatory developments on the business.
• Manage investigations into compliance issues.
• Support compliance training for staff.

Skills

Compliance advice

Regulatory assessments

Analytical skills

Training development

Job description

VP, Advisory Compliance - Global Banking Division

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

Base pay range

$150,000.00/yr - $180,000.00/yr

Seniority level

Mid‑Senior level

Employment type

Full-time

Job function

Finance

Industries: Financial Services and Banking

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.

Contact

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