Job Overview

Cowen Inc. is seeking a Compliance professional to join its Control Room team in the San Francisco area as a hybrid in-office/work from home opportunity.

Responsibilities Include:

• Maintain the Firm's watch and restricted list on a regular basis.
• Monitor interactions and communications between Research and Investment Banking.
• Handle regulatory inquiries and conflict management.
• Participate in regulatory exams and internal auditors.
• Provide advice and guidance to business partners and make sound business decisions meeting clients' needs.

Job Requirements/Qualifications:

• Bachelor's degree and 8+ years relevant experience.
• Research clearance against Investment Banking transactions required.
• A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards.
• Excellent verbal and written communication skills and strong professional demeanor.
• Proven ability to work well on teams, showing initiative, a positive attitude, and a willingness to work hard independently as well.
• High level of ethical standards, integrity, and judgement.
• Organized, self-motivated, detail and deadline oriented.
• Ability to understand and analyze compliance issues and commercially provide effective tactical and strategic solutions.
• Securities licenses preferred but not required.
• Willing to work flexible hours in hybrid in-office/work from home model and occasional weekends.
• Highly proficient in Microsoft Office, including the ability to work comfortably within Excel.

The expected base salary ranges from $155,000 - $220,000. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, licenses or certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

Who We Are:

As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. Our corporate, government, and institutional clients choose us for our innovation, execution, and experience.

With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.

TD Cowen is a division of TD Securities. As part of TD Securities' broader suite of integrated capital markets products and services, our offering includes investment banking, research, sales and trading, prime brokerage, outsourced trading, and commission management services.

Our Values:

• Vision: We consistently deliver differentiated and disruptive insights that help our clients outperform
• Empathy: We proactively consider and account for the priorities and concerns of our colleagues and clients
• Sustainability: We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time
• Tenacious Teamwork: We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.

Learn more at: https://www.cowen.com/ and https://www.linkedin.com/company/cowen-inc/

If you are a California resident, please read our Privacy Notice for California Residents: https://www.cowen.com/regulatory-disclosures/privacy-notice-for-california-residents/

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