Senior Tax Associate – High Net Worth Clients & Family Office Services Jobot
New York, NY3 days ago
- $120,000–$140,000 Per Year
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Skills
- Analysis Skillsunmatched
- Business Developmentunmatched
- Business Supportunmatched
- Equity Securitiesunmatched
- Internal Auditunmatched
- Investment Servicesunmatched
- Legalunmatched
- Maintain Complianceunmatched
- Multitaskingunmatched
- Onboardingunmatched
- Policy Developmentunmatched
- Procedure Developmentunmatched
- Regulationsunmatched
- Riskunmatched
- Securities and Exchange Commission (SEC)unmatched
- Team Playerunmatched
- Training/Teachingunmatched
Description
Job title: Senior Compliance Officer
Hourly bill rate: $125/hr
Start date: ASAP
End date: 10/5/2026
Work location: 1285 AoA
Work schedule: Ideally hybrid (2 days in the office 3 days from home). For the right candidate fully remote should work.
Job Description:
Essential Duties & Responsibilities of Senior Compliance Officer with Focus on Equity Research
This position is for a Control Room/Equity Research Compliance Officer.
Required Background & Skills:
Required years of experience: minimum 10 years of relevant experience.
Education requirements: Bachelor's degree, masters preferred, Client licenses preferred.
Hourly bill rate: $125/hr
Start date: ASAP
End date: 10/5/2026
Work location: 1285 AoA
Work schedule: Ideally hybrid (2 days in the office 3 days from home). For the right candidate fully remote should work.
Job Description:
Essential Duties & Responsibilities of Senior Compliance Officer with Focus on Equity Research
This position is for a Control Room/Equity Research Compliance Officer.
- Serve as the Compliance Subject Matter Expert on Information Barriers
- Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
- Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies
- Advise Equity Research regarding use of experts and expert networks
- Assist the business with research vettings from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research
- Review and approve equity research as needed
- Respond to Internal Audit and regulatory inquiries
- Execute projects as assigned by supervisor and/or Compliance senior management.
- Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.
- Conduct training of the equity research staff during onboarding, add-hoc and annual compliance training
- Assist on the maintenance of the Firm's Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
- Stay abreast of rule changes as they apply to equity research.
Required Background & Skills:
- Think analytically and provide advice based on sound judgment
- Have solid working knowledge of rules around MNPI (i.e., Section 15(g) of the '34 SEC Act), research rules (e.g., Client Rule 2241, 2242, Safe Harbors, Global Settlement), Regulation M
- Work effectively in a team environment and foster effective relationships
- Be able to react in a fast-paced environment, managing a wide variety of requests
- Be able to work positively and make decisions under time pressure
- Be able to interpret and apply SEC, Client and other regulatory rules
- Flexibility and the ability to multitask – nontraditional hours required to support business lines.
Required years of experience: minimum 10 years of relevant experience.
Education requirements: Bachelor's degree, masters preferred, Client licenses preferred.
Numbers & Facts
| Location | New York City, NY (Remote) |
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