**Essential Duties and Responsibilities** + Provide Equity Capital Markets (ECM), Equity Research and Investment Banking advisory and monitoring functions + Identify and manage regulatory risks associated with ECM, Investment Banking and Research + Interact with members of ECM/IB/Sales/Research for advice related to IPO/Follow-On Equity offerings (e.g. Reg M, deal marketing, SPACs) + Daily engagement with Senior Managing Directors and Managing Directors from the business + Assist with Conflict of Interest checks + Have extensive knowledge of varying forms of equity underwritings including private placements, syndicate matters, and Reg M + Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns. + Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs. + Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates. + Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints and investigations. + Reviews compliance and risk management controls and recommends appropriate changes, as required. + Coordinates the preparation and submission of regulatory filings and maintains required compliance documents. + Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations. + May oversee compliance exception reporting processes and take appropriate action, as required. + Draft and update written supervisory procedure manuals required by the SEC. + Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service. + Ensures processes and procedures support efficient and timely workflow. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies, specifically FINRA 2241 and SEA – Section 5, SEC Rules 138/139, Reg M + Financial markets and products. + Investment concepts, practices and procedures used in the securities industry. **Advanced Skill in:** + Administering regulatory notifications and filings. + Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Investigating compliances issues and irregularities. + Making rule-based and analytical decisions. + Identifying and applying appropriate compliance monitoring procedures and tests. + Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. + Preparing oral and/or written reports. + Project management skills and experience sufficient to successfully complete long and short term projects. + Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases. **Ability to:** + Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Attend to detail while maintaining a big picture orientation. + Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives. + Establish and communicate clear directions and priorities. + Gather information, identify linkages and trends and apply findings to operations. + Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s). + Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others. + Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates. + Work independently as well as collaboratively within a team environment to resolve problem. **Educational/Previous Experience Requirements** + Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry. + Minimum ten (10) years management experience within the financial services industry. ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + None Required. + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.