What are the responsibilities and job description for the Senior Equity Research Compliance Manager position at Larson Maddox?
Our client, a very prestigious American banking groups, is looking to hire an experienced Compliance professional at a VP / Senior Manager level to provide specialist Compliance advice and guidance to senior leaders and key members of the firms Research & Strategy group within their highly regarded Investment Bank. The Research & Strategy group are responsible for among others, producing key data points and market commentary for the firms substantial Investment Banking and Markets business lines. The firm are one of the US' most prestigious banking groups whose global presence continues to go from strength to strength and due to a recent high-profile acquisition, Equity Capital Markets business lines have been identified as a key growth areas and as such this role is the first of several new hires to be signed off in their specialist Research Compliance team.
You will report directly into the US Head of Research Compliance.
The Senior Compliance Manager will be responsible for…
- Providing specialist Compliance Advice to key stakeholders and business leaders across all of the firms wholesale lines of business, producing key market research
- Providing specialist Compliance Advice relating to policy, standards and industry best practice.
- Working with the Control Room overseeing chaperoning on behalf of key business units
- Engagement with regulators on a state and federal level
The Senior Compliance Manager should have the following qualifications…
- Minimum of 5 years of relevant Investment Banking and/or Securities Compliance experience including experience of Equity Research
- Excellent working knowledge of Equity Derivatives sales.
- Knowledge of Blue Matrix
- Exceptional communication skills
