Compliance Officer, Investment Banking & Capital Markets

Job Description

Clear Street is seeking a Compliance Officer to support its Investment Banking and Equity Research divisions. This role involves providing compliance guidance, monitoring activities, and mitigating risks within investment banking and research. The Compliance Officer will play a critical role in ensuring the integrity of Clear Street's business practices.Responsibilities include:

• Operationalizing policies and procedures for investment banking and research.
• Conducting compliance reviews and surveillance of investment banking transactions.
• Developing and implementing written policies and procedures for investment banking, research, and corporate access.
• Overseeing restricted lists, watch lists, and other control room processes.
• Providing real-time advice and guidance to investment bankers on regulatory and compliance issues.
• Conducting training on compliance matters.
• Preparing and submitting compliance reports to senior management.
• Coordinating with Legal and the CCO on compliance issues.
• Identifying, escalating, and assisting in the remediation of compliance issues.
• Preparing responses to regulatory inquiries.
• Staying abreast of new regulations and advising on implications for the business.

Requirements include:

• At least five (5) years of professional experience implementing and maintaining compliance programs for investment banking and research.
• Bachelor degree in Finance, Economics, pre-law or other similar discipline.
• Experience facing off with regulators and designing compliance programs for SEC, FINRA and other relevant rules and regulations.
• Excellent analytical and problem-solving skills.
• Exceptional communication and interpersonal skills.
• Ability to be commercial when working with senior stakeholders.
• Proficiency in using compliance monitoring tools.

Clear Street offers:

• Competitive compensation packages.
• Company equity.
• 401k matching.
• Gender neutral parental leave.
• Full medical, dental, and vision insurance.
• Lunch stipends, fully stocked kitchens, happy hours.