Job Opening: Senior Compliance Officer
June 4, 2020
Title: Senior Compliance Officer
About the Company:
Chardan is a boutique, full-service investment bank that is very active in the biotech space. Chardan has become the leading investment bank in the gene therapy space, for example, after focusing its research on the most disruptive technologies that can generate shared value for society.
Chardan is seeking an experienced Compliance professional with AML experience who will be responsible for ensuring Chardan functions in a legal and ethical manner while meeting our business goals. The role is structured as blended Investment Banking, Capital Markets, Research, and Control Group.
- Assist and advise Investment Banking and Capital Markets on Public and Private transactions
- Manage and facilitate Regulation M processes and Distribution Manager filings
- Review and maintain the Firm’s Watch and Restricted Lists, including seeking and responding to updates from investment banking teams to review and resolve transactional conflicts
- Advisor to business groups on MNPI, Information Barriers, wall crossing procedures, sensitive information and need to know policies
- Assist and advise Research on permitted activities, Research Report content and required disclosures
- Advise management on implementation of an effective legal compliance program and ensure the staff is educated on the latest regulations, processes, and potential risks
- Create and manage effective action plans in response to compliance violations
- Monitor electronic communications and trading activity for AML and general compliance issues and effectively escalate any concerns as appropriate
- Monitor communications between restricted groups of employees, act as gatekeeper and chaperone permitted conversations between restricted groups of employees to ensure they are in line with the firm’s conflicts of interest policy
- Maintain records and logs of permitted communications as well as identify and escalate potential compliance issues arising out of communications
- Perform ad-hoc special projects as assigned by the Chief Compliance Officer
- Bachelor's degree in a related field or relevant experience with fluent knowledge of US financial regulation framework, risk management and industry principles
- Series 7, 14 and 24 certifications (27 and 55/57 a plus)
- 5+ years of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm
- Highly organized self-starter with excellent judgment and strong attention to detail Broad knowledge of Global Research Settlement, Equity Research Sales and Advisory functions
- Understand Capital Markets rules and transactions
- Understand with settlement operations, trading, and related controls
- Understanding of research regulations such as FINRA 2241 & 2242, Rule 138 & 139
- Ability to think analytically and provide advice based on sound judgment
- Work effectively in a team environment and foster effective relationships
- Be able to react in a fast-paced environment, managing a wide variety of requests
- Be able to work positively and make decisions under time pressure
- Be able to interpret and apply SEC, FINRA and other regulatory rules
- Strong communicator with ability to influence and challenge across all levels of the organization
- Microsoft Office Suite proficient (Outlook, Word, PowerPoint, and Excel)
Chardan is an Equal Opportunity/Affirmative Action employer and does not discriminate on the basis of race, gender, ancestry, color, religion, sex, age, marital status, sexual orientation, gender identity, national origin, medical condition, disability, veteran’s status, or any other basis protected by law.
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