TD completes acquisition of Cowen Inc. Learn more.

Compliance Control Room VP/Director

Experienced - BFO

New York, NY

Job Overview

Cowen Inc. is seeking a Compliance professional to join its Control Room team in New York and is 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 - $220,000k.  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

Cowen Inc. (“Cowen” or the “Company”) is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide.

At Cowen, inclusion and diversity are catalysts for success and innovation in everything we do. We pride ourselves on our empathetic and collaborative culture, where the power of diversity is harnessed to transform the status quo. Our focus on inclusion expands our thinking in order to generate better outcomes for clients, while striving to increase fairness and equity for our colleagues. Cowen’s vision of creating a more inclusive and equitable future is supported by our core values and is essential to our ability to outperform.

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.

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Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an or email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.