Job Description

Summary:

A leading global financial institution is seeking a senior-level compliance director to oversee regulatory risk management and conflicts governance for its investment banking, corporate banking and research divisions across the Americas. This highly visible leadership role will focus on managing information barriers, addressing complex conflicts of interest and ensuring regulatory compliance across a broad range of capital markets and corporate finance activities. The successful candidate will serve as a strategic partner to senior business leaders while maintaining robust relationships with global compliance counterparts and regulatory authorities.

Key Responsibilities:

• Serve as the firm’s subject matter expert on conflicts of interest and information barrier governance, providing advisory support across investment banking, corporate lending, financing, and research business lines.Lead the design, oversight, and execution of the conflicts management framework, ensuring robust processes for identifying, assessing, and mitigating both real and perceived conflicts.
• Oversee governance processes related to deal reviews, client engagements, and cross-divisional activities that may present regulatory or reputational risk.
• Provide strategic compliance guidance on global research regulations, including independence standards, disclosures, and conflict management related to research content and distribution.
• Collaborate closely with Legal, Risk, Audit, and Operations teams, ensuring cohesive and effective regulatory risk management across the enterprise.
• Actively represent the Compliance function in management and oversight committees, driving alignment on policy development, regulatory responses, and governance best practices.
• Maintain direct communication channels with U.S. regulatory bodies, providing timely reporting and managing exam processes as needed.
• Monitor emerging regulatory developments and assess their impact on the firm’s business strategies and compliance framework.

Internal Stakeholder Relationships:

• Investment Banking, Corporate Lending, and Capital Markets business units
• Legal, Risk, Audit, and Operations teams
• Global Compliance counterparts across regions

Regulatory Interfaces:

• Federal and state regulators including the FRB, SEC, FINRA, CFTC, and others as applicable

Requirements:

• 15+ years of relevant compliance experience within investment banking, corporate lending, capital markets, and research environments
• Deep expertise in U.S. regulatory frameworks governing control rooms, information barriers, research independence, and conflicts of interest
• Prior exposure to cross-border compliance topics and international regulatory coordination
• Proven track record of successfully managing regulatory exams and interactions with U.S. regulators

Preferred Qualifications:

• Bachelor’s degree required; JD or advanced degree preferred
• FINRA SIE, 79, 24, 63 licenses (or willingness to obtain shortly after hire)
• Strong project management skills with the ability to lead complex, deadline-driven initiatives
• Exceptional communication and stakeholder engagement capabilities

If interested, please apply directly!

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