Phaxis · 5 hours ago
Director, Compliance - Investment Banking
New York, NY
Full-time
Onsite
Director/Executive
$200K/yr - $230K/yrPhaxis is seeking an experienced compliance professional to support the Investment Banking and Research business lines within a highly regulated broker-dealer environment. This individual will serve as a key compliance partner, providing regulatory guidance and ensuring adherence to SEC and FINRA requirements across capital markets activities.
DeliveryHuman ResourcesStaffing Agency
Hiring Manager
Ethan Lerman
Responsibilities
Act as primary compliance coverage for the Investment Banking and Capital Markets teams, providing real-time regulatory guidance on business activities and transactions
Develop, update, and maintain Written Supervisory Procedures (WSPs) related to investment banking and research operations
Serve as the subject matter expert on information barriers (Chinese Walls) between Investment Banking, Research, and Sales & Trading
Manage and maintain Restricted and Watch Lists to address conflicts of interest and material non-public information controls
Oversee supervisory processes related to equity research , including review and approval of research reports and ensuring appropriate disclosures
Serve as liaison between Investment Banking, Research, Sales, and senior management to ensure regulatory alignment while supporting business objectives
Participate in internal and external meetings involving banking teams, research analysts, and clients from a compliance perspective
Partner with external vendors that support investment banking compliance infrastructure
Assess business practices to identify control gaps or regulatory risks and recommend enhancements to strengthen oversight and operational efficiency
Qualification
Required
Significant experience in investment banking or capital markets compliance within a broker-dealer or investment bank
Demonstrated experience overseeing information barriers, conflicts management, and research supervision
Ability to engage effectively with senior banking professionals while maintaining independent compliance judgment
Experience drafting and maintaining supervisory policies and procedures
Strong working knowledge of Securities Act of 1933
Strong working knowledge of Securities Exchange Act of 1934
Strong working knowledge of Investment Advisers Act of 1940
Strong working knowledge of FINRA rules and regulatory guidance related to capital markets and research
Preferred
Series 79
Company
Phaxis
Phaxis is one of the nation's leading recruiting and consulting firms.
Founded in 2002
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Seth Friedland
Co-Founder and CEO
E
Erik DiGiacomo
President
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