Director, Research Compliance - Trevose Partners Limited : Job Details

A top-tier capital markets firm is seeking a seasoned Senior Compliance Professional with extensive experience in Research Compliance advisory. Job Summary: Our client is looking for a Research Compliance Advisory Specialist to provide real-time compliance advice to the Research business lines. Responsibilities:

• Identify regulatory trends and developments that impact business areas and advise staff on the changes that may impact their current activities.
• Provide real-time advice across all business units.
• Collaborate with the Control Room on their chaperoning activities and other items on behalf of the business.
• Assist with internal investigations, respond to regulatory inquiries, and coordinate with audits.
• Draft and implement relevant policies and procedures.

Qualifications:

• Bachelor's degree required; JD is a plus.
• 8+ years of relevant experience.
• Knowledge of Equity Research Business Line & Debt Research is a plus.
• Strong knowledge of applicable securities laws, rules, and regulations.

The salary range is between $215,000-$250,000 depending on experience. For more information, please reach out to Josh Delgado at [email protected] The perfect role for you? Don't hesitate... Apply now