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Job Description
- Req#: 6948631002
Employer Industry: Financial Technology Investment Banking
Why Consider this Job Opportunity:
- Competitive compensation package
- Opportunity for career growth and advancement within the organization
- Access to world-class executives at high-growth companies
- Strong deal flow with a premier client base
- Collaborative and close-knit team environment
- Recognition as a top-performing investment banking firm
What to Expect (Job Responsibilities):
- Oversee and execute FINRA, SEC, FCA, and related regulatory compliance
- Stay updated on regulatory developments and advise firm management on strategic decision making
- Monitor employee and business compliance matters on a day-to-day basis
- Design and tailor a compliance program to meet the firm's evolving needs
- Write and maintain firm policies and procedures
What is Required (Qualifications):
- 4+ years of FINRA and SEC compliance experience, preferably in Investment Banking or Private Equity
- Good knowledge of FINRA regulations and applicable regulatory requirements
- Working knowledge of federal and state laws and regulations applicable to investment banking
- Ability to articulate regulatory requirements to all levels of employees
- Experience with FINRA Gateway and handling ad hoc regulatory inquiries
How to Stand Out (Preferred Qualifications):
- Familiarity with compliance systems and related platforms
- Knowledge of FCA and EU regulatory requirements
- JD preferred
#FinancialTechnology #ComplianceManagement #InvestmentBanking #CareerGrowth #CompetitiveCompensation
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We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.About the company
FT Partners is a San Francisco based investment banking firm that is focused solely on the financial technology sector...
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