Capital Markets Compliance Manager, Vp

One of the largest securities firms and investment banks in the nation is seeking a Vice President, Capital Markets Compliance Officer responsible for acting in an advisory capacity to activities including equity market making sales, trading, research, syndicate and investment banking activities. This role will be responsible for creating and updating the Capital Markets policies and carries out regular testing of the Capital Markets supervisors’ work product.

Responsibilities include, but are not limited to:

• Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key risk control gaps and deficiencies
• Work with the business supervision team to ensure all applicable rules and the products supported are identified to ensure testing priorities can be evaluated and established while maintaining accuracy
• Work closely with other compliance colleagues to ensure consistency among execution of testing and interpretation of rules
• Assist in the monitoring of the Capital Markets Division’s compliance with SEC, FINRA and other applicable regulations
• Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s)
• Advise line of business supervision staff on emerging compliance issues, and assist in developing policies, procedures, and risk management analyses
• Conduct branch office audits for Capital Markets locations and assist the CEO in Annual Market Access Testing for Capital Markets activities
• Draft and update Capital Markets Policies and Written Supervisory Procedure and work with the CCO in obtaining information and documentation for Capital Markets-related inquiries and examinations
• Assist with programs for educating and training personnel on compliance and regulatory topics
• Experience and Skills
• Bachelor's Degree from an accredited university
• Extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities
• 10+ years of related experience in a broker/dealer operations and/or compliance position
• FINRA Series 7, 24, 63 licenses required
• Understanding of FINRA, SEC and other regulatory requirements around trading and market making activities including Reg SHO, Reg NMS, Rule 605, Rule 606, SEC Rule 15c3-5, TRACE, and MSRB trade reporting
• Experience overseeing compliance obligations of firms with syndicate, research, and investment banking businesses
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• Strong analytical, problem-solving, critical-thinking skills and extremely detail-oriented
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Some travel