VP/Investment Banker for a non-deal role - Global Banking division in the Americas, New York, NY

Job Context
Based in New York, the Supervisory Support Team is responsible for
ensuring compliance with regulatory and conduct-related matters for
the Global Banking division in the Americas. We are seeking to recruit
an individual with a strong Corporate Finance background to lead our
Business Management team to be based in New York and be primarily
responsible for tracking internal activities emanating from the North
American region. The individual should have Series 7, 63, and 24
registrations. This role is essential to the management of our
business, as the data collected, analyzed and processed is relied upon
by Senior Management, Business Area Heads, Chief Administrative
Officers, Legal, Compliance, Human Resources, and Internal or External
Auditors.

The Supervisory Support Team works in conjunction with other core
groups under the Chief Operating and Chief Administrative Officers of
Global Banking. This team interacts with counterparts in other areas
of the Bank which support the Global Banking effort, e.g. Legal,
Compliance and Human Resources.

Purpose and Responsibilities
Duties will involve the following:
· Intense scrutiny of email correspondence generated and received by
Global Banking Americas to ensure compliance with firm policies and
regulations
· Review a sample of Global Banking pitch books
· Coordinate with Compliance Department to identify best practices
designed for business environment
· Periodically update the written supervisory procedures (WSPs) for
registered personnel in Global Banking Americas in conjunction with
the Compliance Department
· Provide monthly reports to Business Area Heads and Chief
Administrative Officers which track each Business Area's compliance
with the WSPs
· Develop policies and procedures to meet regulatory enhancements
· Investigate and respond to internal audit inquiries surrounding
Global Banking matters
· Help ensure registration and training requirements for Global
Banking are met on a timely basis
· Monitor the compliance of document retention requirements for Global
Banking on a deal by deal basis
· Act as intermediary between Legal/Compliance and business when appropriate

Candidate Specification
· College graduate
· Series 7 & 63 registrations
· Series 24 registration
· General comprehension of Investment Banking operations and products
· Highly professional demeanor, strong interpersonal skills and
ability to communicate with senior management
· Previous experience in compliance or understanding of and keen
interest in securities regulation for an Investment Banking
environment
· Conscientious of highly confidential and materially sensitive information
· Ability to identify potential issues, and articulate and raise those
matters in a timely manner
· Ability to handle intensive database and PC work, and ability to
satisfy stringent deadlines
· Detail oriented and methodical

APPLY TO: kenmurray@mercurypartner.com