New York Senior Compliance Officer

Job Summary

To support compliance initiatives in equity research, the onsite Senior Compliance Officer in New York will manage information barriers, advise business groups on compliance matters, and conduct training for equity research staff.

Key responsibilities

• Serve as the Compliance Subject Matter Expert on Information Barriers and develop relationships with key stakeholders
• Advise on equity research processes, including wall crossing procedures and sensitive information handling
• Conduct training sessions for equity research staff and assist in maintaining the Firm's Global Watch and Restricted Lists

Required qualifications

• Minimum 10 years of relevant experience in compliance or related fields
• Bachelor's degree required; master's degree preferred
• Solid working knowledge of MNPI rules and equity research regulations
• Client licenses preferred
• Ability to work in a fast-paced environment and manage multiple requests effectively