What are the responsibilities and job description for the VP/Director – U.S. Markets Investment Banking Compliance Advisory position at Madison-Davis, LLC?
I hope this message finds you well. My client is an investment bank located in Midtown Manhattan looking to bring on board a “VP/Director – U.S. Markets Investment Banking Compliance Advisory” to join their team. This role is currently in a hybrid schedule (2 to 3 days in office / week). If you are interested or have any questions, please email at scebel@madisondavis.com
Responsibilities:
*Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities.
*Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific.
*Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions.
*Ensure day-to-day activities of the Investment Banking Compliance team are in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits.
*Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact.
*Participate in industry groups and trade association working groups or other forums.
*Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for appropriate remediation or corrective actions as required.
*Assist with development and delivery of training program for front office personnel and relevant control personnel.
Salary : $180,000 - $225,000
