FBR Capital Markets | Working at FBR

Vice President - Regulatory Affairs & Compliance

Location:

Arlington, VA (HQ)

Job Code:

807

# of openings:

Description

Assistant Vice President, Regulatory Affairs and Compliance

Overview of FBR Capital Markets

FBR Capital Markets provides investment banking, merger and acquisition advisory, institutional brokerage and research services. FBR Capital Markets focuses capital and financial expertise on eight industry sectors: consumer, diversified industrials, energy & natural resources, financial institutions, healthcare, insurance, real estate and technology, media & telecom. FBR Capital Markets is headquartered in the Washington, D.C. metropolitan area with offices in Arlington, VA; Boston; Dallas; Houston; Irvine; New York; San Francisco; London, England.

FBR Capital Markets’ Vision is to be the pre-eminent global investment bank serving middle market companies and those who invest in them by providing innovative ideas that create value and delivering an unmatched focus on execution.

SUMMARY:

The candidate should be comfortable interacting with various departments, levels of business lines, and management. The role requires the ability to conduct presentations and ongoing training sessions. The candidate should be detail oriented, a conscientious self starter requiring minimum supervision, and possessing strong analytical and problem solving skills.

RESPONSIBILITES:

Assist in maintenance of e-communications monitoring systems
Assist in review of advertising and sales literature
Conduct new hire orientation and manage new hire materials
Assist with developing firm training plan
Conduct audits as necessary
Assist in responding to regulatory inquiries and keep up-to-date with relevant regulatory changes
Manage multiple, deadline-oriented tasks in a fast-pace environment
Respond to employee questions regarding their communications
Assist with CRD filings
Draft Compliance Alerts, Compliance Manuals and Supervisory Manuals
Assist with the preparation of routine presentations to large and small groups on compliance issues
Review firm-wide technology projects to determine compliance implications
Review employee communications to ensure compliance with appropriate rules, regulations and firm policies

REQUIREMENTS:

BA/BS Degree required
Series 7 and 24 preferred
Basic understanding of the rules and regulations relevant to the e-communications, information barriers, advertising, information security, licensing and registration
The ability to learn and adapt in a dynamic environment
Excellent verbal and written communication skills
Two plus years of regulatory and/or broker-dealer experience preferred
Proficient with Microsoft Word, Excel and Access

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