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Phaxis · 3 hours ago

Investment Banking Compliance Officer

New York, NY

Full-time

Onsite

Senior Level

$175K/yr - $225K/yr

Phaxis is a growing investment banking client seeking a seasoned compliance professional with expertise in Investment Banking and regulatory frameworks. The role involves providing compliance guidance, developing policies, and overseeing compliance practices within the Investment Banking team.

DeliveryHuman ResourcesStaffing Agency

Responsibilities

Acts as a primary compliance advisor to the Investment Banking team, providing guidance on regulatory requirements, conflicts management, and supervisory obligations

Responsible for the creation, enhancement, and ongoing maintenance of Written Supervisory Procedures (WSPs) related to Investment Banking and Research

Serves as the firm's Investment Banking Compliance Subject Matter Expert, overseeing the design and enforcement of information barriers between Investment Banking, Sales, and Research

Manages the development and administration of Restricted and Watch Lists associated with Investment Banking engagements

Partners with Investment Banking, Research, Sales, and external parties by participating in internal and client-facing meetings to ensure compliance considerations are addressed

Coordinates with third-party vendors and compliance service providers that support Investment Banking operations

Conducts ongoing reviews of Investment Banking business practices to identify control gaps, regulatory risks, and operational inefficiencies; recommends and helps implement process improvements

Supervises Research analyst compliance, including the review and approval of research reports prior to publication and oversight of proper distribution

Acts as a key liaison between Investment Banking, Research, and Sales, ensuring adherence to firm information barrier policies ("Chinese Wall”) and conflict-of-interest controls

Qualification

Investment Banking expertiseCapital Markets knowledgeRegulatory complianceSecurities Act knowledgeSeries 79 certificationSupervisory obligationsProcess improvementConflict management

Required

Deep expertise in Investment Banking, Capital Markets, and Research regulatory frameworks

Extensive knowledge of Client and SEC rules and proven experience developing, implementing, and maintaining firm compliance policies supporting Investment Banking and Research activities

Strong working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, and applicable Client regulations