Director of Compliance - (US-CA-Los Angeles - 91335)

Compensation: $150K - $185K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: 287257
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eConsultAmerica is a preferred vendor supplier on retainer with a multi-billion dollar, global provider of financial services and wealth management.. Our client is seeking an experienced and savvy Director of Compliance. This position will be based in New York, NY. Our client is offering a full relocation package. This position will require 25% domestic travel. If you are interested please forward a brief cover-letter and your updated resume and I will respond back within one (1) business day. US Citizens or Green Card holders only apply.


Contact Information
eConsultAmerica
resumes@eConsultAmerica.com - Email
eConsultAmerica – Yahoo Instant Messenger
eConsultAmerica@skype.com – Skype Instant Messenger


POSITION DETAILS
The Director of ECM Origination, Syndicate and Special Equities Compliance is responsible for managing compliance risk, developing infrastructure and providing advisory support to LOB for all aspects of the regulatory and reputation risk in these product areas. LOB activities include Equity Origination, Syndicate and Special Equities with staff located in New York, NY, Charlotte, NC and St. Louis, MO. Responsibilities include: Develop and implement Compliance programs to enable LOB management to demonstrate to regulators the firms compliance with FINRA and SEC regulations. Create and foster strong working relationships with interdependent Compliance groups, Legal and Retail Compliance in order to advise on applicable regulations and conflicts of interests as syndicate distributes to institutional clients and into the Retail Broker Dealer. Identify and advise on potential conflicts of interest and provide necessary interpretive guidance to senior business leadership. Manage at least one direct report; develop, mentor and manage all human resource requirements. Represent Compliance on committees for ECM, such as Commitment Committees, New Products and technology. Oversee the planning and preparation for exams and audits; reviewing and approving the documentation gathered to respond to regulatory inquiries.


BEST INDUSTRY – Financial Services
BEST DEPARTMENT – Equities Compliance


QUALIFICATIONS
Bachelors Degree is required. Masters Degree in Economics, Finance or Law highly preferred.
7+ years of Equity and Convertible, Capital Markets compliance or legal experience, at a major firm that consistently underwrites IPOs, follow-ons, convertible offerings, closed end funds, and at the market offerings as a book-running manager.
Extremely helpful if candidates worked on a full service platform that engages in lending and M&A. Experience with Information Barriers issuers.
Experience with 40 Act company issuers is required.
Experience with and expert knowledge of FINRA, NYSE and SEC rules associated with Equity and Convertible origination and syndicate (33 and 34 Act, Regulation M, Rule 144A, FINRA Rules 2710, 2720, Papilsky Rules, and 2790).
Knowledge of SEC Rule 144, Rule 10b5-1 trading plans and share purchases in accordance with Rule 10b-18 is required.
Knowledge of NYSE and FINRA rules associated with Equity trading (Reg SHO, Reg NMS, Rule 92, Rule 108, Rule 134, Rule 122, Rule 123, Rule 78, SEC Rule 15c2-11, OATS, , ACT, 132) required.
Very strong research skills are required.
Excellent oral and written communication skills are essential in this role.
The ability to clearly communicate regulatory guidance in a fast paced environment to all levels of associates, including senior management is required.
Ability to analyze detailed, complex regulations and transactions is essential in this role.



Compensation
150K – 185K