Our client, a global investment bank, is looking for a VP - Sales & Trading Compliance Advisory profile in New York City. The role will essentially provide compliance advisory services for the corporate finance business lines by providing real-time compliance advice to investment banking, leveraged finance, equity and debt capital markets (DCM).
The ideal candidate will have:
- Experience developing and implementing policies and procedures in capital markets.
- Strong knowledge of practices under the Securities Act and Exchange Act as well as knowledge of FINRA regulations
- Experience providing regulatory, legal and compliance advice to market sales and trading - fixed income and equities sales - Debt Capital Markets (DCM) Required
- J.D. preferred
This is a high visibility level role that will see you build and manage relationships with senior stakeholders within the business on a global scale. Excellent opportunity to move into a globally focused role with excellent career prospects. A highly competitive package is on offer and will be commensurate with industry experience.
To learn more about this opportunity and others like it please email or call Ben Ellison on +1 646-766-1212.