Position Purpose:  The Director of Investment Banking Compliance will possess a comprehensive understanding of the regulatory landscape governing investment banking.  They will focus on providing real-time support to the Firm’s investment banking group which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution, and syndication of securities offerings. This will involve advising on complex issues (questions or proposals) related to confidential information and information barriers, underwriting, marketing, and selling securities offerings, surveillance and monitoring of controls, supervision, and other issues that are typical for an investment bank.
 
Primary Accountabilities/Responsibilities: 

• Provides compliance support and guidance regarding the Firms investment banking efforts
• Provide guidance and interpretation on SEC, FINRA and state rules and regulations to ensure Firm policies and procedures comply with appropriate laws, regulations, and industry guidance.
• Advise on deals from start to finish.  Reviews deal file to ensure appropriate books and records are maintained.
• Reviews and approves marketing materials used to support investment banking efforts. Solid understanding of Research Analyst and Research Report rules is a plus. .
• Strong working knowledge of fixed income and equity products specifically investment banking and institutional sales practices.
• Ensure investment banking procedure are appropriately documented and referenced in the Firm’s compliance manuals and written supervisory procedures.
• Supports new product development to ensure appropriate procedures and controls are in place. Knowledge of complex products is a plus both equity and fixed income.
• Manage the over-the-wall process and ensure that appropriate information barriers are in place.
• Provide leadership and supervision to a team of compliance professionals.
• Work with all levels of management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility.
• Provide ongoing training in support the Firm’s Investment Banking activity and institutional sales and trading departments.
• Develop and conduct controls testing on a wide range of investment banking procedural controls.
• Develop, communicate, and implement strategies, procedures and technology systems designed to enhance the firm’s compliance with applicable rules and regulations.
• This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

Job Requirements:

• 10-15 years capital markets compliance experience, 3-5+ years investment banking
• Bachelor’s degree in Finance, Accounting or other related field, preferred, MBA/JD preferred
• Series 7, Series 79, and Series 24, preferred
• Highly organized with great attention to detail
• Proven leader with quality communication, analytical and project management skills
• Strong relationship management and leadership skills are desired, including experience and ability in dealing with senior management
• Ability to reach sound judgments and act quickly under tight deadlines
• Experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies
• Participant in industry, regulatory and exchange panels, organizations, and committees