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Essential Duties and Responsibilities

+ Provide Equity Capital Markets (ECM), Equity Research and Investment Banking advisory and monitoring functions

+ Identify and manage regulatory risks associated with ECM, Investment Banking and Research

+ Interact with members of ECM/IB/Sales/Research for advice related to IPO/Follow-On Equity offerings (e.g. Reg M, deal marketing, SPACs)

+ Daily engagement with Senior Managing Directors and Managing Directors from the business

+ Assist with Conflict of Interest checks

+ Have extensive knowledge of varying forms of equity underwritings including private placements, syndicate matters, and Reg M

+ Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns.

+ Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.

+ Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.

+ Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints and investigations.

+ Reviews compliance and risk management controls and recommends appropriate changes, as required.

+ Coordinates the preparation and submission of regulatory filings and maintains required compliance documents.

+ Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.

+ May oversee compliance exception reporting processes and take appropriate action, as required.

+ Draft and update written supervisory procedure manuals required by the SEC.

+ Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.

+ Ensures processes and procedures support efficient and timely workflow.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

+ Concepts, practices and procedures of securities industry compliance.

+ Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies, specifically FINRA 2241 and SEA – Section 5, SEC Rules 138/139, Reg M

+ Financial markets and products.

+ Investment concepts, practices and procedures used in the securities industry.

Advanced Skill in:

+ Administering regulatory notifications and filings.

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

+ Preparing oral and/or written reports.

+ Project management skills and experience sufficient to successfully complete long and short term projects.

+ Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

+ Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Attend to detail while maintaining a big picture orientation.

+ Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

+ Establish and communicate clear directions and priorities.

+ Gather information, identify linkages and trends and apply findings to operations.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

+ Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others.

+ Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

+ Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

+ Minimum ten (10) years management experience within the financial services industry.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.