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Capital Markets Compliance Officer

New York, NY

About Clear Street:

Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets. 

We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Our platform is fully integrated with central clearing houses and exchanges to support billions in trading volume per day. We’ve agonized about our data model abstractions, created horizontal scalability, and crafted thoughtful APIs. All so we can provide a best-in-class experience for our clients. 

By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets.

At Clear Street, we are committed to excellence in investment banking and providing comprehensive advisory and capital raising services to our clients.  Our dynamic investment banking team connects capital with opportunity, creating value for our clients.  We are currently seeking a dedicated and experienced Capital Markets Compliance Officer to join our Compliance team who will be responsible for providing compliance advice and building a compliance program to support our growing investment banking offering.

 

The Role:

As a Capital Markets Compliance Officer, you will play a critical role in supporting the regulatory compliance infrastructure of our Investment Banking and Equity Research divisions.  You will be responsible for providing compliance guidance to the team and for monitoring the activities within investment banking and research for compliance with applicable internal policies and procedures and applicable federal securities laws and implementing rules and regulations.  Your insights and analysis will help mitigate risks and uphold the integrity of our business practices.

 

Responsibilities:  

  • Operationalize the policies, procedures and written supervisory procedures for the investment banking and research divisions and related products including corporate access.
  • Conduct compliance reviews, surveillance and monitoring of investment banking transactions to monitor for compliance for SEC, FINRA and other applicable rules and regulations.
  • Lead the development and implementation of written policies and procedures for investment banking, research and corporate access.
  • Oversee the restricted list, watch list and other control room processes.
  • Provide real-time advice and guidance to investment bankers on regulatory and compliance issues, including but not limited to conflicts of interest, regulatory filing requirements, insider trading and market manipulation.
  • Provide advice to the sales and trading desks on questions that arise in connection with investment banking transactions and the publication of research.
  • Conduct training on compliance matters to foster a culture of compliance across the Clear Street organization.
  • Prepare and submit regular compliance reports to senior management.
  • Coordinate with Legal and the CCO on compliance issues that impact investment banking, research or corporate access.
  • Identify, escalate and assist in the remediation of any compliance issues that arise.
  • Prepare and submit responses to regulatory inquiries involving investment banking, corporate access and/or research.
  • Stay abreast of new regulations or changes in law and advise on implications for the business.

 

Requirements:

  • At least five (5) years of professional experience implementing and maintaining compliance programs for investment banking and research.
  • Bachelor degree in Finance, Economics, pre-law or other similar discipline.
  • Experience facing off with regulators and designing compliance programs for SEC, FINRA and other relevant rules and regulations as it relates to research and investment banking
  • Excellent analytical and problem-solving skills, with the ability to interpret complex legal documents.
  • Exceptional communication and interpersonal skills, including the ability to explain complex compliance issues clearly and persuasively.
  • Ability to be commercial when working with senior stakeholders while balancing business opportunities and compliance needs.
  • Proficiency in using compliance monitoring tools and conducting research to address questions.

 

We Offer:
The Base Salary Range is $175,000 - $225,000. These ranges are representative of the starting base salaries for this role at Clear Street. Which range a candidate fits into and where a candidate falls in the range will be based on job related factors such as relevant experience, skills, and location. These ranges represent Base Salary only, which is just one element of Clear Street's total compensation. The ranges stated do not include other factors of total compensation such as bonuses or equity.

At Clear Street, we offer competitive compensation packages, company equity, 401k matching, gender neutral parental leave, and full medical, dental and vision insurance. Our belief has always been that we are better as a business when we are all together in person. As such, beginning on January 2, 2023, we are requiring employees to be in the office 4 days per week. In-office benefits include lunch stipends, fully stocked kitchens, happy hours, a great location, and amazing views.

Our top priority is our people. We’re continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse — in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer.  #LI-Hybrid

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