Seeking experienced Senior Compliance Officer – Equity Research Compliance (Contract) for client in NYC!
Contract Duration: Through October 2026
Start Date: ASAP
Work Arrangement: Hybrid preferred (2 days onsite, 3 days remote); fully remote may be considered for the right candidate.
Pay Rate: $85-88/hour + benefits
Seeking a Senior Compliance Officer with strong Control Room and Equity Research Compliance experience to support regulatory compliance and information barrier oversight.
Key Responsibilities
- Serve as the Compliance Subject Matter Expert (SME) on Information Barriers.
- Develop and maintain strong relationships with business stakeholders, Legal, and Risk to support an effective compliance program.
- Advise business groups and compliance partners on:
- Information barriers
- Wall-crossing procedures
- Sensitive information handling
- Need-to-know policies
- Provide compliance guidance to Equity Research regarding the use of experts and expert networks.
- Support research vetting requests from Investment Banking, including wall crossings and chaperoning meetings between Investment Banking and Equity Research.
- Review and approve equity research publications as required.
- Respond to Internal Audit and regulatory inquiries.
- Execute compliance initiatives and special projects assigned by senior management.
- Assist in drafting and maintaining compliance policies and procedures, while recommending enhancements to business processes.
- Deliver onboarding, annual, and ad hoc compliance training to Equity Research staff.
- Maintain the firm's Global Watch and Restricted Lists, coordinating updates with Investment Banking teams.
- Stay current on regulatory developments impacting equity research and related compliance obligations.
Required Qualifications
- Minimum 10 years of relevant compliance experience, preferably within an investment bank or financial services environment.
- Strong analytical skills with the ability to provide practical, risk-based compliance guidance.
- Extensive knowledge of:
- Material Nonpublic Information (MNPI) regulations, including Section 15(g) of the Securities Exchange Act of 1934
- FINRA Rules 2241 and 2242
- Regulation M
- Safe Harbor provisions
- Global Research Settlement requirements
- Experience interpreting and applying SEC, FINRA, and other applicable regulatory requirements.
- Proven ability to build effective relationships across business and control functions.
- Ability to thrive in a fast-paced environment while managing multiple priorities and competing deadlines.
- Strong decision-making skills under pressure.
- Flexibility to support business needs, including occasional nontraditional work hours.
Education & Certifications
- Bachelor's degree required.
- Master's degree preferred.
- FINRA licenses preferred.
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Pay: $80.00 - $88.00 per hour
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Vision insurance
Work Location: Hybrid remote in New York, NY 10020
