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Our client is a well-established financial institution providing comprehensive services to private clients, institutions, and corporations. They are currently seeking a skilled Investment Banking Supervisor Analyst to join their team and monitor investment banking projects.
The Investment Banking Supervisor Analyst will provide regulatory guidance, and ensure compliance with relevant laws, regulations, and industry standards for investment banking. They will be responsible for monitoring and assessing compliance risks, developing, and implementing compliance policies and procedures, conducting internal audits, and providing guidance as needed.
This Role Offers:
Competitive base salary and bonuses, plus comprehensive benefits, including medical/dental, etc. Opportunity to join an established company and collaborate with teams with decades of experience in investments and private equity. Multiple advancement paths. Opportunity to develop niche skills. Outstanding company culture with a focus on camaraderie and respect. Central role as a key team contributor, involved in discussions surrounding crucial business decisions.
Stay up-to-date with applicable laws, regulations, and industry standards pertaining to investment banking operations. Monitor and assess compliance risks associated with investment banking activities and identify potential areas of non-compliance. Develop and implement compliance policies, procedures, and controls to mitigate risks and ensure adherence to regulatory requirements. Conduct regular internal audits to assess compliance with established policies and procedures. Collaborate closely with management to develop and implement effective policies and procedures. Investigate and address compliance-related incidents, including conducting internal investigations and implementing corrective actions. Prepare and submit reports to regulatory authorities as required. Maintain accurate documentation of compliance activities, including records of audits, investigations, and training sessions.
2+ years of corporate financial compliance experience. Bachelor’s degree in finance, business, or a related field. Strong knowledge of regulatory frameworks (SEC and FINRA). Must be certified in FINRA Series (7 or 24); Series 79 certification highly preferred. Proficient in compliance software and Microsoft Office Suite. Strong background collaborating with key stakeholders and overseeing projects. Excellent analytical and problem-solving skills. Detail-oriented with high ethical standards. Effective communication and interpersonal skills. Demonstrated success in a fast-paced environment. Willingness to learn, strive toward continuous improvement.
About Blue Signal:
Blue Signal is an award-winning, executive search firm specializing in finance & accounting recruiting. We have a strong reputation for finding top talent in private equity, asset management, financial services, FinTech, and accounting leadership. Learn more at bit.ly/3lN4mhQ