Banking Jobs in Newark nj

Job Description

Job Description

Job Details and Responsibilities

Job Overview :

We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus on supervisory responsibilities. The ideal candidate will be adept at ensuring regulatory compliance, overseeing filing requirements, and maintaining effective supervisory controls within the investment banking division.

Key Responsibilities :

• Compliance Oversight : Ensure and verify all investment banking activities adhere to regulatory requirements and internal policies. Monitor and enforce compliance with FINRA, SEC, and other relevant regulations.
• Filing Requirements : Conduct the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness in compliance with industry regulations.
• Risk Management : Identify and assess potential compliance risks, implementing strategies to mitigate these risks effectively.
• Policy Implementation : Develop and enforce compliance policies and procedures, ensuring they are updated in line with regulatory changes and industry developments.
• Audit Support : Coordinate with internal and external auditors, providing necessary documentation and addressing any findings or concerns.

Qualifications :