What are the responsibilities and job description for the Compliance Officer – Investment Bank Compliance – – Vice President position at Madison-Davis, LLC?
An investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Investment Bank Compliance – Vice President” to join their team. The firm is currently in a hybrid model (4 days in office).
Responsibilities:
• Provide real-time advisory services to the Investment Bank with specific coverage of Origination and Capital Markets business groups – this includes identifying regulatory trends and developments that impact business areas
• Advise business areas on firm policies and procedures and applicable securities laws and regulations
• Assist the business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures – this includes training
• Participate in internal investigations, respond to regulatory inquiries (this includes interaction with federal/state regulators), and coordinate internal and external audits and inspections
• Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
• Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control framework
Salary : $150,000 - $210,000
