Compliance Officer-possibility of remote

Senior Compliance Officer – Equity Research Compliance

Location: 1285 Avenue of the Americas, New York, N

YWork Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may be considered for the right candidate

.Position Overvie

wOur client is seeking a Senior Compliance Officer with strong Control Room and Equity Research Compliance experience to support the firm’s Compliance function. This individual will serve as a subject matter expert on Information Barriers, Material Non-Public Information (MNPI), wall crossing procedures, equity research compliance, and regulatory requirements

.The ideal candidate will have extensive experience advising Equity Research teams, partnering with Investment Banking, managing sensitive information processes, and interpreting SEC/FINRA regulations within a financial services environment

.Key Responsibilitie

sServe as a Compliance Subject Matter Expert for Information Barriers and related controls

.Build and maintain strong relationships with business stakeholders and risk partners to support an effective compliance program

.Advise business groups, Legal, and Compliance teams on

:Information Barrier

sWall crossing procedure

sSensitive information handlin

gNeed-to-know policie

sMNPI requirement

sProvide compliance guidance to Equity Research regarding the use of experts and expert networks

.Support research vetting processes involving Investment Banking, including wall crossings and chaperoning meetings between Investment Banking and Equity Research

.Review and approve equity research materials as needed

.Respond to Internal Audit requests and regulatory inquiries

.Execute compliance projects as directed by Compliance leadership

.Assist with drafting and enhancing compliance policies, procedures, and business controls

.Provide compliance guidance and respond to questions from management and employees

.Conduct onboarding, annual, and ad hoc compliance training for Equity Research personnel

.Support maintenance of the firm’s Global Watch List and Restricted List, including coordination with Investment Banking teams

.Monitor regulatory developments impacting Equity Research compliance

.Required Qualifications & Skill

sMinimum 10+ years of relevant Compliance experience within financial services, preferably Investment Banking, Capital Markets, or Equity Research environments

.Strong knowledge of

:MNPI regulations, including Section 15(g) of the Securities Exchange Act of 193

4Equity Research regulations including

:FINRA Rule 224

1FINRA Rule 224

2Safe Harbor provision

sGlobal Settlement requirement

sRegulation

MSEC and FINRA regulatory requirement

sExperience supporting Control Room functions, Information Barriers, and wall crossing processes

.Ability to provide sound judgment and practical compliance advice in a fast-paced environment

.Strong analytical skills with the ability to interpret and apply regulatory requirements

.Excellent communication and stakeholder management skills

.Ability to prioritize multiple requests and make decisions under time constraints

.Comfortable supporting business needs outside of traditional hours when required

.Education & Certification

sBachelor’s degree required; Master’s degree preferred

.FINRA licenses preferred

.Ideal Backgroun

dCandidates from Investment Bank Compliance, Equity Research Compliance, Control Room, Capital Markets Compliance, or Front Office Advisory Compliance backgrounds are strongly preferred. Experience supporting Research analysts, Investment Banking teams, restricted lists, watch lists, and information barrier processes is highly desirable

.