Vice President- IBD Compliance

The Company

My client is a leading financial institution committed to maintaining the highest standards of regulatory compliance and ethical business practices. We are looking for an experienced Senior IBD Compliance Officer to join our Compliance team and support our Investment Banking Division (IBD).

The Role

• Provide strategic compliance guidance to investment bankers and senior management on regulatory requirements, policies, and best practices.
• Ensure adherence to global and regional regulatory frameworks, including SEC, FINRA, FCA, MiFID II, and other relevant financial regulations.
• Develop, implement, and enhance compliance policies and procedures to mitigate regulatory and reputational risks.
• Conduct compliance ri...