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Assistant Vice President

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Our client is seeking an experienced Assistant Vice President to join. Your focus will be on providing immediate support to the Origination & Advisory Capital Markets business, specializing in investment banking advisory engagements and capital markets products and services. You will provide advice on issues related to confidential information, communications with public-side investors, selling securities offerings, internal controls, supervision for a large global investment bank.

What you'll do:
As an Assistant Vice President, your role will be crucial in providing immediate support to the Capital Markets businesses. You will be at the forefront of identifying regulatory trends that could impact business operations while advising on firm policies and applicable laws. Your expertise will be vital in assisting the business in implementing supervisory mechanisms, participating in internal investigations, responding to regulatory inquiries, coordinating audits and interacting with regulators. Your commitment to upholding compliance standards will be demonstrated through your active participation in the global compliance monitoring program.
• Provide immediate advisory services to the Capital Markets businesses
• Identify regulatory trends and developments that impact business areas
• Advise business areas on firm policies and procedures and applicable securities laws and regulations
• Assist the Business in implementing and documenting various supervisory/control mechanisms
• Participate in internal investigations, respond to regulatory inquiries, 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 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


What you bring:
The ideal candidate for the Assistant Vice President position brings a wealth of experience in securities, preferably gained within a global investment bank or law firm. Your ability to provide legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential. You possess functional knowledge of FINRA, SEC, broker dealer regulations and other relevant bank regulations. Your strong communication skills enable you to effectively influence others and project confidence and professionalism when dealing with senior business personnel.
• Bachelor’s degree or equivalent; JD or MBA a plus
• Moderate securities experience, preferably in a global investment bank or law firm
• Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
• Functional knowledge of Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) , broker dealer regulations and other relevant bank regulations; knowledge of Regulation M, SEC 10b-18 and 10b5-1 as well as industry best practices
• Strong written and verbal communication skills with ability to effectively influence others
• Ability to project confidence and professionalism in dealings with senior business personnel


What sets this company apart:
• Our client is committed to fostering a diverse and inclusive environment that embraces change, innovation, and collaboration.

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Sell-side Compliance

Industry: Financial Services

Salary: $100,000 - $142,000 per year

Workplace Type: Hybrid

Experience Level: Mid Management

Location: New York

Job Reference: FHACWP-08E212B5

Date posted: October 30, 2024

Consultant: Daniela Garcia

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