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Compliance AVP - 15a-6

  • Location: New York
  • Salary: competitive basic + bonus + benefits
  • Job type: Permanent
  • Job reference: kfb/170689
  • Sector: Banking , other Financial Services , Professional Services
Job Description

Barclay Simpson are currently working with a global investment bank to recruit a Compliance AVP on a permanent basis. The successful candidate will work within a high calibre Compliance team and whilst playing a lead role in the 15a-6 process, will have a broad and generalist post working under the tutelage of an experienced Compliance Director.


Key Duties

  • Researching flow into US from foreign offices
  • Tracking foreign analysts in US, visiting customers and liaising with external stakeholders in obtaining necessary documentation
  • Providing regulatory advice for DCM
  • Ad hoc compliance advice to wider business
  • Ad hoc compliance related projects and change management



  • Circa five years of relevant compliance experience gained in investment banking or at a broker dealer
  • Substantial knowledge of 15a-6 process
  • Excellent knowledge of compliance regulations governing investment banking space


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