Investment Banking and Equity Research Compliance Manager

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The Investment Banking and Equity Research Compliance Manager is as an integral member of the Capital Markets Compliance team. This position is accountable for the effective compliance coverage of regulatory risks and oversight monitoring tools (e.g., surveillance, reviews, and reports) for Investment Banking and Equity Research.

What you are good at:

• Communication - Effective communicator;
• Client Service - Exceptional client service skills, ability to anticipate and meet customer needs and proven ability to develop rapport with external and internal partners, including senior leadership;
• Leadership and Initiative - Proactively look for opportunities to enhance processes and demonstrate confident leadership;
• Building Relationships– Connecting with others in a way that fosters trust and creates collaborative relationships.

Responsibilities:

• Serve as the compliance subject matter expert to the Investment Banking and Equity Research departments
• Oversee the maintenance of the Investment Banking and Equity Research Compliance program
• Assist the business with research vetting’s from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research
• Manage compliance of Material, Non-public Information (“MNPI”) and assist in the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
• Ensure that policies, procedures, and programs comply with applicable regulatory requirements and mitigate risk across the Investment Banking and Equity Research businesses
• Collaborate with Investment Banking and Equity Research Leadership on the development and evolution of policies, procedures and programs as industry practices and applicable laws and regulations change
• Serve as advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, MNPI and need to know policies
• Develop and maintain strong relationships with Managers and Senior Leadership in the Investment Banking and Equity Research businesses
• Address changes in regulations and communicate their impact to Investment Banking and Equity Research Leadership and conduct related trainings across Investment Banking and Equity Research as needed
• Work to address the discovery of any non-compliance, ensure appropriate measures are taken to address potential regulatory issues, and work to ensure that issues are resolved in a timely manner
• Ensure the adequacy and effectiveness of controls over regulatory risk using appropriate metrics

• Foster and maintain strong and trusted relationships with key regulators. Draft responses to regulatory inquiries and exam requests related to Investment Banking and Research

 

 

What you have:

 

• Minimum of 5 -10 years of experience in Compliance or Legal supporting Investment Banking and/or Equity Research
• Detailed knowledge of regulatory requirements that effect the Investment Banking and Equity Research business
• Series 7, 14, 79, and 86/87 licenses required or the ability to obtain
• Bachelor’s Degree required; Juris Doctor degree preferred

• Sound judgment and good problem - solving skills

• Initiative and leadership skills
• Strong project management and communication skills
• Ability to travel as needed

 

This role will be hybrid (approximately three days per week in the office).  This individual can be based in New York or Philadelphia, PA. but if based in New York this individual will commit to being in Philadelphia as needed.

Why work for us?

Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Paternal Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.  Explore further.

 

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. Attracting, hiring, and retaining diverse talent is a priority for the firm.   We succeed because of the people who choose to work here; the depth of their skills, experiences, diversity of thoughts and backgrounds. 

 

The compensation package for this position consists of a base salary, (with eligibility for an annual bonus/Financial Advisor paid bonus/commissions if applicable) as well as eligibility to participate in all company benefits offered by Janney to full-time employees including health, dental, medical coverage, disability income protection, life insurance, PTO/vacation, holidays, and 401(k).  The salary range for this position will be $175,000 to $200,000.  Total compensation packages at Janney are based on experience, skills, credentials, and geographical location, of each specific candidate.     

 

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.