Los Angeles, CA

A financial services company located in California is actively seeking a driven and dedicated professional to join their staff in a remote capacity as their new Capital Markets Compliance Officer / VP. In this role, the Capital Markets Compliance Officer / VP will be responsible for acting in an advisory capacity for the Capital Markets team and investment banking activities.

Responsibilities

The Capital Markets Compliance Officer / VP will:

• Assist with the design and execution of regulatory compliance testing for Capital Markets business
• Work with the business supervision team to ensure all applicable rules and the products supported are identified to ensure testing priorities can be evaluated and established while maintaining accuracy
• Work closely with other compliance colleagues to ensure consistency among execution of testing and interpretation of rules
• Assist in the monitoring of the Capital Markets Division's compliance with SEC, FINRA, and other applicable regulations
• Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s)
• Advise line of business supervision staff on emerging compliance issues, and assist in developing policies, procedures, and risk management analyses
• Conduct branch office audits for Capital Markets locations
• Assist the CEO in Annual Market Access Testing for Capital Markets activities
• Draft and update Capital Markets Policies and Written Supervisory Procedures
• Work with the CCO in obtaining information and documentation for Capital Markets-related inquiries and examinations
• Perform other duties as required and assigned

Qualifications

• Bachelor's degree from an accredited university
• Extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities
• 10+ years of related experience in a broker/dealer operations and/or compliance position
• FINRA Series 7, 24, 63 licenses
• Understanding of FINRA, SEC and other regulatory requirements around trading and market making activities including Reg SHO, Reg NMS, Rule 605, Rule 606, SEC Rule 15c3-5, TRACE, and MSRB trade reporting
• Experience overseeing compliance obligations of firms with syndicate, research, and investment banking businesses
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• Excellent communication and presentation skills
• Strong analytical, problem-solving, and critical-thinking skills
• Extremely detail-oriented