Senior Compliance Officer

Job Summary

To support the compliance function within equity research, the full-time Senior Compliance Officer will manage information barriers, advise on compliance policies, and ensure regulatory adherence while working onsite in New York.

Key responsibilities

• Serve as the Compliance Subject Matter Expert on Information Barriers and wall crossing procedures
• Develop relationships with stakeholders to implement an effective compliance program and provide advisory support
• Conduct training for equity research staff and assist in maintaining the Firm's Global Watch and Restricted Lists

Required qualifications

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