Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the '34 SEC Act), research rules (e.g., Client Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M. Assist the business with research vettings from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research.
Numbers & Facts
Location
New York City, NY (Remote)
Description
Job title: Senior Compliance Officer Hourly bill rate: $125/hr Start date: ASAP End date: 10/5/2026 Work location: 1285 AoA Work schedule: Ideally hybrid (2 days in the office 3 days from home). For the right candidate fully remote should work.
This position is for a Control Room/Equity Research Compliance Officer.
Serve as the Compliance Subject Matter Expert on Information Barriers
Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies
Advise Equity Research regarding use of experts and expert networks
Assist the business with research vettings from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research
Review and approve equity research as needed
Respond to Internal Audit and regulatory inquiries
Execute projects as assigned by supervisor and/or Compliance senior management.
Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.
Conduct training of the equity research staff during onboarding, add-hoc and annual compliance training
Assist on the maintenance of the Firm's Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
Stay abreast of rule changes as they apply to equity research.
Required Background & Skills:
Think analytically and provide advice based on sound judgment
Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the '34 SEC Act), research rules (e.g., Client Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M
Work effectively in a team environment and foster effective relationships
Be able to react in a fast-paced environment, managing a wide variety of requests
Be able to work positively and make decisions under time pressure
Be able to interpret and apply SEC, Client and other regulatory rules
Flexibility and the ability to multitask – nontraditional hours required to support business lines.
Required years of experience: minimum 10 years of relevant experience.