What are the responsibilities and job description for the Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets – Assistant Vice President position at Madison-Davis?
Investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets – Assistant Vice President” to join their team. The firm is currently in a hybrid model (3 days in office).
Responsibilities :
- Provide real-time advisory services to the Capital Markets businesses (i.e., ECM, LDCM, Debt Capital Markets (DCM))
- Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
- Advise business areas on firm policies and procedures and applicable securities laws and regulations, Draft, update, and implement relevant policies and procedures
- Provide regulatory / compliance training
- Assist the Business in implementing and documenting various supervisory / control mechanisms, Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
- Interact with federal and state regulators, 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
