Compliance - Control Room [Contractor] Compliance - Control Room [Contractor] …

Phyton Talent Advisors
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Competitive
Phyton Talent Advisors
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Competitive
Compliance - Control Room [Contractor]
Compliance - Control Room [Contractor]
Location : Jacksonville, FL
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Seize this great opportunity where you will get to focus on providing real-time compliance advice and support to Investment Banking business-aligned compliance teams for the Americas, and will be involved in advising on a variety of matters related to managing conflicts of interest, information barriers, ECM and DCM, Mergers & Acquisitions advisory, development and management of principal investments, lending and syndication, interact with research analyst, internal controls, supervisory responsibilities, as well as advising on conduct and integrity matters.

Main Responsibilities:
  • In this role you will review all advisory, financing and principal transactions for evidence of conflicts and escalations to appropriate stakeholders
  • coordinate with the business to receive timely status updates on all outstanding transactions
  • provide advice and guidance consistent with the firm's policies and procedures and coordinate with US based and global stakeholders to draft, update and implement policies and procedures to develop best practices
  • In addition, you will identify regulatory trends and developments that impact investment banking and capital markets and advise staff as to how this impact their current activities, report and escalate potential breaches and incidents and perform testing and monitoring of compliance with firm policies and conduct risk assessments of business to ensure effective business control framework.

Qualifications :
  • Your degree and experience in a financial services, investment banking, broker-dealer or regulatory environment as well as having working knowledge of global capital markets and understanding of the U.S. regulatory environment are highly desirable
  • Excellent written and communication skills are imperative for this role, as well as your initiative and good eye for detail.
  • Having completed FINRA series exams would be advantageous.

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