Compliance Officer

For our Compliance division in New York we are looking to hire a

Compliance Officer*, Full Time - New York 

What will you do?

• Providing advisory and monitoring activities in support of Investment Banking, Equity Sales and Trading, Research distribution, and Equity Research coverage/production; 
• Building and maintaining strong relationships with front office personnel and work proactively with senior business management to maintain, enhance, develop relevant compliance policies and procedures;
• Guarding reputational and regulatory risk for each business line and functioning as an escalation point for compliance issues and conflicts of interest;
• Identify, track and coordinate regulatory changes regarding covered business units;
• Perform surveillance and supervisory reviews to document the firm’s supervisory controls;
• Managing internal controls, supervisory systems, and tailoring future processes as needed;
• Engage with various regulators, risk management personnel, and business partners on various management, response, and internal/external audit needs;
• Maintain employee and firm regulatory registrations, training, and ongoing monitoring;
• Function as project manager on as needed basis to improve compliance workflows, compliance technology, and improve data segregation and protection 

What are we looking for?

• Bachelor's Degree required, MBA or JD helpful and minimum of 3+ years of equity experience with a U.S. broker-dealer or investment bank;
• Extensive knowledge of FINRA and SEC rules and regulations relating to equity sales and trading, investment banking, and research production and distribution;
• Series 7, 63 required, Series 57, 79, or 24 helpful but not required.  Series 24 to be obtained at later date;
• Proven analytical skills, understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research coverage and production practices such as trade surveillance, CAT reporting, 15a-6 requirements and e-communication surveillance;
• Proven ability to multi-task, prioritize and organize time effectively in a fast-paced and constantly changing environment, driving projects to completion with minimal supervision;
• A team member with problem-solving, solution development goals who values team success over individual goals;
• Experience in dealing with examinations, audits, and inquiries from regulatory authorities

What we offer you

• 100% Company sponsored medical, dental, and vision insurance
• 25 Paid vacation and sick time
• Company-paid life insurance
• Company-paid STD/LTD
• Paid parental leave
• 401(k) plan with company match
• Gym membership discounts

Apply now and join our Team – we look forward to receiving your application!

Who We Are:

Berenberg Capital Markets LLC (BCM) is a New York based FINRA member broker-dealer, and wholly owned independent subsidiary of Joh. Berenberg, Gossler & Co. KG (Berenberg), one of Europe’s leading privately-owned banks, established in 1590. Together, BCM and Berenberg have built a franchise known for its “client first” approach and a global reputation of high-quality coverage of both corporate and institutional clients. As a combined entity, Berenberg covers over 770 European and US equities, with a 100+ person research department based out of London. Leveraging our global network of institutional investors and deep corporate relationships, we developed a track record of raising capital on US exchange’s raising over $28 billion for 72 corporates since opening our Equity Capital Markets division in 2018. Building on its strength and expertise across multiple industries, BCM continues to expand the breadth of Sales, Trading, and Investment Banking services it offers to better assist its institutional and corporate clients’ access to the global equity markets. BCM adopts the same principles as its parent company and is committed to building long-term relationships with its clients based on high levels of accountability, responsibility, insight, vision, and expertise.

We will only accept applications submitted through our online application management system on the website.

We’re committed to finding reasonable accommodations for candidates who require adjustments during our recruiting process. Please contact us directly on recruitment@berenberg.com to discuss.

BCM provides Equal Employment Opportunities (EEO) to all employees and applicants without regard to their actual or perceived age, race, creed, religious belief, color, gender, sexual orientation, gender identity, partnership status, marital status, physical or mental disability, national origin, alienage or citizenship status, military or veteran status, genetic predisposition or carrier status, or engaging in protected activity (such as opposition to prohibited discrimination or participation in proceedings covered by the anti-discrimination statutes) or any other characteristic protected by applicable federal, state and local law. BCM complies with applicable state and local laws governing non-discrimination in employment in every location in which the Company has facilities. This policy applies to all terms and conditions of employment, including hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

Salary will vary based on role, education, level of experience, and expertise ranging between $90,000 to $115,000 dollars as a base salary with eligibility for a discretionary annual bonus plus comprehensive benefits package.