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Our industry specialists will listen to your aspirations and share your story with the most prestigious organisations in the US. Together, let’s write the next chapter of your career.
See all jobsTogether, we’ll map out career-defining, life-changing pathways to achieve your career ambitions. Browse our range of services, advice, and resources.
Learn moreLeading employers across the US trust us to deliver fast, efficient hiring solutions that are tailored to their exact requirements. Browse our range of bespoke services and resources.
Read moreRecruitment
Recruitment outsourcing
Talent advisory
Whether you’re seeking to hire talent or a new career move for yourself, we have the latest facts, trends and inspiration you need.
See all resourcesFor us, recruitment is more than just a job. We understand that behind every opportunity is the chance to make a difference in people's lives.
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Our people are the difference. Hear stories from our people to learn more about a career at Robert Walters United States.
Learn moreTruly global and proudly local. We've been serving the US for over 30 years, expanding offices across New York, California and Austin.
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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.
About the job
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
FULL_TIMEJob Reference: FHACWP-08E212B5
Date posted: October 30, 2024
Consultant: Daniela Garcia
new-york legal-and-compliance/sell-side-compliance 2024-10-31 2024-12-29 financial-services New York New York US USD 100000 142000 142000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png trueCome join our global team of creative thinkers, problem solvers and game changers. We offer accelerated career progression, a dynamic culture and expert training.