Chief Compliance Officer (Equity Sales & Trading) For Redburn Atlantic (A Rothschild & Co Group Company), NY

About Us

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,200 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions - Global Advisory, Wealth Management, Asset Management and Five Arrows.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where diversity and different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

About Us

Redburn Atlantic is committed to deep and proprietary equity analysis. Our three businesses, Research Services, Execution Services and Equity Capital Markets, all benefit from our founding belief that talented professionals must be given the time and space to deliver the highest quality work and client service to investors, traders and corporates. Ours is a distinct culture. It is challenging, creative and collegial. This is the source of Redburn Atlantic's top rankings with many asset managers worldwide

Overview of Role

We are seeking a Vice President level Chief Compliance Officer to provide support and advice to our Redburn Atlantic business in the Americas (including, the US, Canada). The Chief Compliance Officer will work closely with the other members of the Rothschild & Co Legal & Compliance Department and will also work directly with Redburn Atlantic's North America Management, the firm's investment banking personnel. The Chief Compliance Officer will report directly to the Head of Legal and Compliance, Americas.

Responsibilities

• Ensure compliance with regulatory requirements as well as the firms' policies and procedures

• Develop, implement, and maintain compliance programs

• Manage experienced compliance personnel

• Manage internal and external regulatory examinations, audits, inquiries, and similar reviews

• Designated point of contact with the SEC, FINRA and state regulatory bodies, managing regulatory audits, inquiries, investigations and exams

• Provide support, advice and training to front-office and operational personnel with respect to FINRA and SEC rules and regulations

• Ensure compliance with Rule 15a-6

• Ability to identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to senior management

• Work with internal stakeholders to assess compliance implications of new business products and services

• Review, interpret, and assess regulatory impact related to proposed SEC and FINRA rules and regulations

• Develop and execute appropriate testing programs to verify compliance with relevant rules

• Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings

• Chaperone ECM activity as required

• Manage employee compliance matters including personal account trading, outside business interests and conflicts of interest,

• Review and approve marketing materials and other public communications

Education and Qualifications

• Bachelor's Degree

• Prior work experience in compliance or the financial services industry

Experience, Skills and Competencies Required

• 4-6 years broker-dealer compliance experience

• Extensive knowledge of FINRA, SEC and applicable regulatory requirements.

• Must hold Series SIE, 7, and 24 licenses; Series 63, 87, and 79 a plus

• Experience in Equity Research and/or ECM desirable

• Self-starter with strong written & communication skills

• Ability to practice sound judgement and lead a team

• Commercial minded with understanding of business matters

• Attention to detail

• Ability to work under pressure and manage multiple deadline and priorities

• Sound judgment and discretion in dealing with highly confidential/sensitive business matters

• Ability to interface effectively with all levels of employees

Expected base salary rates for this role in our New York Office will be between $200,000 and $250,000 per year at the commencement of employment. However, salary offers are determined on an individualized basis and are based on a wide range of factors, including relevant skills, training, experience and education. Market and organizational factors are also considered. In addition to salary and our Rothschild & Co employee benefits package, successful candidates may be eligible to receive a discretionary bonus.

Rothschild & Co North America is an equal opportunity and affirmative action employer. Disabled/Veterans

Notice of applicant rights

https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf

Notice of applicant rights (Supplement)

https://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf

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