Control Room Compliance Associate/VP

Cowen, Inc - New York, NY

Full-timeEstimated: $110,000 - $160,000 a year
Cowen Inc. is seeking an Associate/VP to join its Compliance Department in New York.

The primary areas of responsibility will be performing core compliance “Control Room” functions which include, but are not limited to, Maintaining the Firm’s Watch and Restricted List, Chaperoning interaction between Research and Investment Banking personnel, conflict management, Regulation M analysis and advice, review and clearance, trading surveillance, handling regulatory inquiries, interacting with regulatory examiners and internal auditors, and providing advice and guidance to business partners.

The candidate will also serve Equity Capital Markets and Investment Banking compliance and advisory functions.

The following are the minimum requirements for the position

At least 5 years relevant experience
A working knowledge of applicable FINRA rules, SEC rules, and relevant industry standards, with a particular understanding of how they are applied with respect to various investment banking transactions, including public and private securities offerings and M&A transactions
The ability to work independently as well as part of a team
Ability to prioritize, meet deadlines, think proactively and pay attention to details
Strong interpersonal skills
Strong verbal and written communication skills
Ability to take a pragmatic, commercial approach to compliance while achieving desired outcomes
Securities Licenses preferred
Willing to work flexible hours and weekends
Company Profile

Cowen Inc. is a diversified financial services firm and, together with its consolidated subsidiaries, provides alternative asset management, investment banking, research, and sales and trading services through its two business segments: Cowen Investment Management and its affiliates make up the Company’s alternative investment segment, while Cowen and Company and its affiliates make up the Company’s broker-dealer segment. Cowen Investment Management provides alternative asset management solutions to a global client base and manages a significant portion of Cowen’s proprietary capital. Cowen and Company and its affiliates offer industry focused investment banking for growth-oriented companies, domain knowledge-driven research and a sales and trading platform for institutional investors. Founded in 1918, the firm is headquartered in New York and has offices located in major financial centers around the world. Cowen Inc. is an Equal Opportunity Employer.