Compliance Control Room - Invest Bank | Research Job at Phyton Advisors, New York, NY 10008

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Job Description

We are currently on a search for one of our Top Tier Investment firms that is currently looking for Compliance Professionals to join their growing team. Looking for 1 person for Investment Banking and 1 person for Research. Roles can be a VP or Director level.

Job Description:
  • Maintain the Firm’s watch and restricted list on a regular basis.
  • Monitor interactions and communications between Research and Investment Banking.
  • Handle regulatory inquiries and conflict management.
  • Participate in regulatory exams and internal auditors.
  • Provide advice and guidance to business partners and make sound business decisions meeting clients' needs.
The role will be in a Hybrid Model based out of the New York, NY office. Compensation package will include Base Salary (up to $220,000) + Bonus + PTO + Benefits.

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