Head of Compliance Job at Hamlyn Williams, New York, NY

S1pyQ3dSOFBCNFZ4aVN0bStJckxoZ292UGc9PQ==
  • Hamlyn Williams
  • New York, NY

Job Description

Summary:

A leading global financial institution is seeking a senior-level compliance director to oversee regulatory risk management and conflicts governance for its investment banking, corporate banking and research divisions across the Americas. This highly visible leadership role will focus on managing information barriers, addressing complex conflicts of interest and ensuring regulatory compliance across a broad range of capital markets and corporate finance activities. The successful candidate will serve as a strategic partner to senior business leaders while maintaining robust relationships with global compliance counterparts and regulatory authorities.

Key Responsibilities:

  • Serve as the firm’s subject matter expert on conflicts of interest and information barrier governance, providing advisory support across investment banking, corporate lending, financing, and research business lines.Lead the design, oversight, and execution of the conflicts management framework, ensuring robust processes for identifying, assessing, and mitigating both real and perceived conflicts.
  • Oversee governance processes related to deal reviews, client engagements, and cross-divisional activities that may present regulatory or reputational risk.
  • Provide strategic compliance guidance on global research regulations, including independence standards, disclosures, and conflict management related to research content and distribution.
  • Collaborate closely with Legal, Risk, Audit, and Operations teams, ensuring cohesive and effective regulatory risk management across the enterprise.
  • Actively represent the Compliance function in management and oversight committees, driving alignment on policy development, regulatory responses, and governance best practices.
  • Maintain direct communication channels with U.S. regulatory bodies, providing timely reporting and managing exam processes as needed.
  • Monitor emerging regulatory developments and assess their impact on the firm’s business strategies and compliance framework.

Internal Stakeholder Relationships:

  • Investment Banking, Corporate Lending, and Capital Markets business units
  • Legal, Risk, Audit, and Operations teams
  • Global Compliance counterparts across regions

Regulatory Interfaces:

  • Federal and state regulators including the FRB, SEC, FINRA, CFTC, and others as applicable

Requirements:

  • 15+ years of relevant compliance experience within investment banking, corporate lending, capital markets, and research environments
  • Deep expertise in U.S. regulatory frameworks governing control rooms, information barriers, research independence, and conflicts of interest
  • Prior exposure to cross-border compliance topics and international regulatory coordination
  • Proven track record of successfully managing regulatory exams and interactions with U.S. regulators

Preferred Qualifications:

  • Bachelor’s degree required; JD or advanced degree preferred
  • FINRA SIE, 79, 24, 63 licenses (or willingness to obtain shortly after hire)
  • Strong project management skills with the ability to lead complex, deadline-driven initiatives
  • Exceptional communication and stakeholder engagement capabilities

If interested, please apply directly!

Job Tags

Similar Jobs

WM

CDL Truck Driver- Commercial Job at WM

 ...PM**Requirements:** Must have a Class A CDL**What is the value of a WM job?**The value...  ...(DOT) requirements as well as all local, state and federal requirements and Company...  ...necessary to perform the job.A. Education and Experience+ Education: None required.+ Experience:... 

IDEA Public Schools

Middle School Math Teacher Job at IDEA Public Schools

 ...Role Mission: All IDEA teachers are responsible for ensuring that every IDEA student masters the academic and social skills necessary to succeed in college, while also embodying IDEAs values daily. In addition, IDEA teachers set ambitious goals for student achievement... 

Professional Engineering Consultant

Senior VDC Specialist Job at Professional Engineering Consultant

 ...Position Summary: The Senior VDC Specialist serves as a technical lead within the VDC division, responsible for establishing, documenting, and upholding VDC standards across projects. They actively integrate Autodesk and compatible BIM tools to optimize workflows... 

Reedy River Post Acute

Weekend CNA Job at Reedy River Post Acute

 ...work Saturday and Sunday only. This position can be every other weekend or every weekend - bonus opportunity for working both weekends...  ...Successful candidates will have the following: 18 years of age A CNA certification in good standing in South Carolina Experience... 

NELSON + POPE

Administrative Assistant Job at NELSON + POPE

 ...Administrative Assistant Nelson + Pope is seeking a qualified Administrative Assistant to work in our Melville, New York office for an immediate start. Responsibilities/Top Skills/Qualifications: Perform general office support duties: document preparation...