What are the responsibilities and job description for the Senior Vice President, Compliance position at CastleOak Securities, L.P.?
Job Description
Job Description
CastleOak Securities, L.P. ("CastleOak") is a premier boutique investment bank focused on providing capital markets services to a broad array of corporate, governmental and institutional clients. Headquartered in New York City, the firm specializes in primary and secondary sales and trading of fixed income, equity, and money market securities, as well as financial advisory (including M&A and private placements). Since its founding in 2006, CastleOak has assisted its clients on public offerings totaling over $4 trillion. CastleOak's professionals average 20 years of successful Wall Street experience and ongoing working relationships with some of the largest global corporations.
We offer a competitive total rewards package including :
- Hybrid workplace : work from home 2 days per week!
- Health insurance : competitive medical, dental, and vision programs
- Commuter benefits
- 401(k) with a company match
- Charitable contribution match program for employees
- Company-paid life insurance, short-term and long-term disability insurance
- Paid time off : vacation, personal days, sick leave, etc.
- Intentional culture celebrations and social outings
Position
The Senior Vice President, Compliance will have overall responsibility for the firm's compliance programs, including developing policies and procedures, communicating all regulatory changes, and delivering training, testing, and assessments. The successful candidate will have experience across business lines (e.g., fixed income sales & trading, equities sales & trading, investment banking) and experience working with external compliance consultants. With duties inclusive of those of a Chief Compliance Officer, this role involves overseeing compliance operations, managing regulatory relationships, and providing strategic guidance where appropriate. The SVP, Compliance will provide advice on and oversight of the firm's compliance with U.S. securities laws and regulations, liaise with regulators on a regular basis, and be responsible for the day-to-day management and execution of all compliance activities for the firm.
Reporting to the Head of Legal & Compliance and operating as a department of one (with external compliance consulting support and the potential to hire an analyst if needed), the successful candidate will take a hands-on approach, pivoting seamlessly between strategic and tactical activity to ensure that the firm adheres to all regulatory requirements and maintains the highest standards of ethical conduct.
Essential responsibilities
Required Qualifications :
Compensation
125,000 - $200,000 based on experience; eligible for discretionary bonus
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, citizenship, age, marital status, medical condition (including pregnancy and related conditions), physical or mental disability, protected veteran status, and / or any other characteristic protected by law.
Please do not contact employees of the firm directly regarding open positions.
Salary : $125,000 - $200,000
