Vice President - Regulatory Affairs & Compliance

Vice President - Regulatory Affairs & Compliance Location: Arlington, VA (HQ) Job Code: 807 # of openings: 1

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

Please refer to job code fbrgroup-807 when responding to this ad.

Category:	Biotech/Pharmaceutical
	> Regulatory Affairs
Location:	Arlington, VA
County:	Arlington County
ZIP Code:	22201
Pay Rate:	Open
Job Terms:	full time
Company:	FBR Group
Phone:	email only please
Fax:	email only please