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
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