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Director of Research Compliance

2 months ago

New York, United States Larson Maddox Full time

Our client, one of Europe’s largest banking groups, is looking to hire an experienced Compliance professional at a Director / Executive Director level to provide specialist Compliance advice and guidance to senior leaders and key members of the firms Research & Strategy group. The Research & Strategy group are responsible for among others, producing key data points and market commentary for the firms substantial Investment Banking and Markets business lines. The firm are one of Europe’s largest banking groups whose global presence continues to go from strength to strength and due to a recent high-profile acquisition, several business lines have been identified as a key growth areas as such this role is the first of several new hires to be signed off in their specialist Research Compliance team.

You will report directly into the US Head of Markets & Investment Banking Compliance.


The Compliance Director will be responsible for…

  • Providing specialist Compliance Advice to key stakeholders and business leaders across all of the firms wholesale lines of business, producing key market research
  • Providing specialist Compliance Advice relating to policy, standards and industry best practice.
  • Working with the Control Room overseeing chaperoning on behalf of key business units
  • Engagement with regulators on a state and federal level


The Compliance Director should have the following qualifications…

  • Minimum of 8+ years of relevant Securities Compliance experience including experience of Equity Research
  • Excellent working knowledge of Equity Derivatives sales.
  • Knowledge of Blue Matrix
  • Exceptional communication skills