Provide compliance coverage for the Equity Research Department and Corporate Access Team, including advising on public communications and core compliance issues in collaboration with relevant compliance colleagues. Interpret and advise on all aspects of Equity Research independence, including but not limited to FINRA Rule 2241, Reg. FD, Reg. AC, and related rules, regulatory developments, interpretations, and enforcement actions. Develop and deliver policy updates and training on core matters, n... more details
Client looking to move quickly
Wide exposure across the firm
About Our Client
Client is global an investment and advisory financial services firm that engages in investment banking, asset management, capital markets services, and insurance services
Job Description
Provide compliance coverage for the Equity Research Department and Corporate Access Team, including advising on public communications and core compliance issues in collaboration with relevant compliance colleagues.
Interpret and advise on all aspects of Equity Research independence, including but not limited to FINRA Rule 2241, Reg. FD, Reg. AC, and related rules, regulatory developments, interpretations, and enforcement actions.
Develop and deliver policy updates and training on core matters, new regulatory requirements, and similar updates.
Collaborate with management, business controls, and Compliance Surveillance to ensure proper supervision, oversight, and testing of critical functions.
Coordinate with the Compliance Control Room on issues, escalations, and projects as needed.
Assist with research disclosure processes, expert network screening, and responding to regulatory inquiries.
Participate in Research Oversight and Compensation Committees.
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
Comfortable interacting directly with all levels of Research and Firm personnel.
Familiar with corporate access functions, research marketing, capital markets transactions, information barriers, and the protection of confidential information.
Strong problem-solving skills with a demonstrated ability to take initiative, critically analyze processes and procedures, and make necessary updates as needed.
Proactive and solutions-oriented; innovative and a self-starter.
Demonstrated ability to use good judgment and maintain integrity at all times.
Bachelor's Degree required.
5-10 years of experience in a broker-dealer compliance role, including coverage of Equity Research (preferred), Control Room, and/or Investment Banking Compliance.
What's on Offer
Join a top global financial services company with wide exposure across Trading, Research, and Compliance with direct access with the Global and US CCOs
Job Abstracts is an independent Job Search Engine. Job Abstracts is not an agent or representative and is not endorsed, sponsored or affiliated with any employer. Job Abstracts uses proprietary technology to keep the availability and accuracy of its job listings and their details. All trademarks, service marks, logos, domain names, and job descriptions are the property of their respective holder. Job Abstracts does not have its members apply for a job on the jobabstracts.com website. Additionally, Job Abstracts may provide a list of third-party job listings that may not be affiliated with any employer. Please make sure you understand and agree to the website's Terms & Conditions and Privacy Policies you are applying on as they may differ from ours and are not in our control.
We would like to take a second to Welcome You to Job Abstracts, the nation’s largest Pure Job Board. With over 3.1 million job listings from 15,000+ Companies & Organizations, we help job searchers find careers that match their interests. As an anonymous user, you have probably discovered how easy our system is to use. However, you have just scratched the surface of what we can offer.
We encourage you to Register so you can use our most powerful features: searching with multiple terms, setting up multiple locations, establishing favorite companies, and accessing your search history. If you find a job you like, you can apply directly for it, and then, keep notes on it. We will also keep a lookout for jobs that match your search terms and email you when we find something you may like.
You can register for free and the system is free to use. If you like our system so far, click on Register and unlock the power required by serious job searchers.
Any time you conduct a search, the system shows you job matches, ranked by their Relevance Score (RS).
The score is calculated by a proprietary algorithm that uses Intelligent Machine Learning.
The Relevance Score tells you how well the job opportunity matches your search term or terms.
When not logged in, the system is limited to one search term. Scores for single term matches are usually lower.
When you register, log in, and set up multiple terms prioritized by importance, the jobs found for you will receive a much higher Relevance Score.