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Subject: Assistant Vice President, Regulatory Affairs & Compliance, Virginia

Alice Morgan posted a job: Assistant Vice President, Regulatory Affairs & Compliance, Virginia

"Our client, a pre-eminent global investment bank serving middle market companies seeks a VP Regulatory Affairs Compliance Officer. The candidate will work in the Control Room Compliance Group which is responsible for Research and Investment Banking Compliance. The candidate will interact daily with members of those departments and work with other members of the Control Room Compliance Group in carrying out the assigned Compliance duties and oversight. This is the ideal position for anyone interested in working on assignments related to Trading compliance, registrations, and anti-money laundering. Responsibilities: * Assist in implementing the firm's Information Barrier policies and procedures by maintaining the firm’s Watch and Restricted Lists. * Communicating with Sales, Trading, Research and Investment Banking personnel regarding specific firm transactions and compliance related issues. * Assist business line management with Information Barrier Over the Wall requests. * Conduct surveillance of trading activities in relation to the firm’s Watch and Restricted Lists. * Conduct compliance controls and reviews addressing research and investment banking activities at the firm. * Implement the firm’s employee trading policy. * Assist in responding to regulatory inquiries and keeping the Control Room current about relevant regulatory changes. * Manage multiple, deadline-oriented tasks in a fast-paced environment. * Draft Compliance Alerts, Compliance Manuals and Supervisory Manuals. * Assist with the preparation of routine presentations to large and small groups on compliance issues. * Perform compliance functions in other compliance groups (e.g., trading, registrations, anti-money laundering). Qualifications: The candidate should have a basic understanding of the rules and regulations governing an investment bank. Experience with the SEC, FINRA or any other regulator is preferred but not necessary. Specific knowledge or experience with the rules and regulations governing a Control Room is a plus and an ideal candidate would have 2-4 years of experience in any of the following areas: * Knowledge of securities laws including SEC Reg M, FINRA Rule 2711, SEC Rules 137, 138, 139, 144A and Reg D. * Application of trading and communications restrictions during quiet periods before and after capital markets transactions and lock-up expirations. * Bachelor’s degree required. * Series 7 and 24 Preferred. * Competency with MS Office (Word, Excel, Outlook). * Ability to learn and adapt to relevant trading and back-office systems. * Excellent written, interpersonal and oral communication skills. To apply please submit your resume to info@compliancesearch.com"

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