Senior Compliance Officer

BizTek People, Inc. | APA International Placement Consultants•New York, NY

5d•Hybrid

About The Position

BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. This role will serve as the Compliance Subject Matter Expert (SME) supporting Equity Research, Information Barrier governance, regulatory compliance, and Control Room activities within a global financial institution.

Requirements

Bachelor's degree required
FINRA licenses strongly preferred.
10+ years of Compliance experience within an investment bank, broker-dealer, or financial services organization.
2+ years of experience supporting Equity Research Compliance and Control Room functions.
Strong knowledge of Information Barriers, MNPI, wall-crossing procedures, and Watch/Restricted List management.
Thorough understanding of SEC and FINRA regulations, including: Section 15(g) of the Securities Exchange Act of 1934 (MNPI), FINRA Rules 2241 and 2242, Regulation M, Safe Harbor provisions, Global Research Settlement requirements.
Experience responding to Internal Audit and regulatory examinations.
Strong analytical, communication, and stakeholder management skills.
Ability to manage multiple priorities in a fast-paced environment while exercising sound judgment.

Nice To Haves

Master's degree preferred

Responsibilities

Serve as the Compliance Subject Matter Expert (SME) on Information Barriers and Control Room Compliance.
Advise Equity Research, Investment Banking, Legal, and business stakeholders on Information Barriers, wall-crossing procedures, sensitive information, and need-to-know policies.
Provide compliance guidance regarding the use of experts and expert networks.
Support research vetting requests from Investment Banking, including wall crossings and chaperoning meetings between Investment Banking and Equity Research.
Review and approve equity research publications.
Maintain the firm's Global Watch List and Restricted List, coordinating updates with Investment Banking teams.
Respond to Internal Audit, regulatory inquiries, and compliance examinations.
Draft and enhance compliance policies, procedures, and business controls.
Deliver onboarding, annual, and ad hoc compliance training to Equity Research personnel.
Execute compliance initiatives, regulatory projects, and special assignments.
Stay current on SEC, FINRA, and other regulatory developments impacting Equity Research and Control Room Compliance.