Compliance Registration, VP

Job Title: Compliance Manager (Broker-Dealer)Location: New York, NYJob Summary:An established investment bank in New York is seeking an experienced Compliance Officer to join our team. The ideal candidate will have a strong background in compliance, particularly in registrations and employee conduct, gained from prior experience in the compliance department of an investment bank. U4 / U5 form experience is required.Key Responsibilities:Regulatory Compliance:Oversee and manage all aspects of the bank’s regulatory compliance program.Ensure compliance with federal, state, and local regulations, particularly those relevant to investment banking activities.Stay updated on regulatory changes and communicate their impact to the relevant departments.Registrations:Manage the registration process for the firm and its employees, ensuring timely and accurate submissions.Maintain records of all registrations and renewals.Liaise with regulatory bodies such as the SEC, FINRA, and other relevant entities.Employee Conduct:Develop and enforce policies related to employee conduct to ensure compliance with regulatory standards.Conduct regular training sessions for employees on compliance policies and ethical conduct.Investigate and resolve any incidents of non-compliance or unethical behavior.Qualifications:Minimum of 5 years of experience in the compliance department of an investment bank.In-depth knowledge of regulatory requirements and best practices in the investment banking sector.Strong understanding of SEC, FINRA, and other relevant regulatory bodies’ rules and regulations. U4 / U5 form experience is required.