At Piper Sandler, we connect capital with opportunity to build a better future.

Piper Sandler is a leading institutional middle market investment bank firm serving clients in the U.S. and internationally. The firm focuses on financial advisory and capital markets that wins through deep sector expertise, candid advice, and a differentiated, highly productive culture – enabling growth and success for our clients as well as rewarding careers for our employees.

We are currently seeking a Compliance Manager to join our Legal & Compliance team in New York, NY or Greenwich, CT.

The Compliance Manager is responsible for assisting in the direction and execution of Piper Sandler’s compliance efforts surrounding our Equity Sales, Trading, and Capital Markets lines of business. This position will report to the Compliance Director and is primarily responsible for performing various compliance and oversight functions designed to ensure compliance with rules, regulations, and internal policies. The Compliance Department is an integral part of the Firm's overall risk management schema, specifically charged with carrying out regulatory obligations to establish, maintain, review, test and modify the Firm’s system of supervision and control.

Responsibilities

• Perform supervisory control testing over Equity Sales, Equity Trading, Corporate Venture Services, Equity Capital Markets and other relevant written supervisory procedures to ensure adherence to SEC, FINRA, and other relevant regulations.
• Collaborate with other departments to address compliance-related issues identified during testing, draft reports, and ensure effective controls are in place.
• Update written supervisory procedures and related policies as rules change, business processes change, or supervisory control testing results indicate updates are necessary and agreed upon by the Designated Principals.
• Review new processes, business initiatives, and changes to existing activities to identify potential regulatory risks including potential supervisory requirements, internal controls needed, and other policy advice. 
• Assist in responding to any regulatory inquiries, examinations or investigations including remediation efforts as recommended by regulatory agencies, compliance consultants, internal audit, and/or firm leadership.
• Assist with the creation and delivery of compliance training, attestations, etc. aimed at enhancing understanding and adherence to the firm’s policies.
• Seek improvement opportunities and efficiencies in supporting technologies, compliance oversight, reporting, as well as control structure within business systems and processes.
• Act as a liaison and point of contact between the Compliance and Equity Supervision, Operations, and other business partners.
• Create regular reporting of key metrics and escalation of issues identified during regular monitoring and testing activities to Compliance Director and business line management.
• Stay abreast of the local and global regulatory environment and work closely with other Legal and Compliance leads to ensure the firm adherence for communicate updates as needed.
• Participate in internal and external industry committees for benchmarking of regulatory expectations and relevant best practices.
• Assist the Compliance Technology team in performing data integrity testing over Surveillance reports utilized by Compliance team members in their Regulatory capacity.

Qualifications

• 7-10 years of relevant experience; prior experience with an institutional broker-dealer desired.
• Bachelors’ degree required - Business, Finance, Economics, or related field.
• FINRA Series 7, 24, and 4 required or willingness to obtain within 12 months.
• Experience with Equity Sales, Trading, and Capital Markets relevant regulations including order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, Rule 606, etc.) and capital markets requirements (i.e. Reg M, FINRA rules 5130/5131, etc.).
• Proficient with trade surveillance systems, Microsoft Office Suite, and data analytics tools
• Strong communication and interpersonal skills with the ability to interact and collaborate effectively across departments in a professional manner in a variety of situations.
• Attention to detail and ability to handle multiple priorities simultaneously while maintaining a positive and productive attitude.
• Ability to handle confidential and sensitive information and the ability to handle matters with discretion when required. 

Our human capital, technology, marketing and other corporate support teams work with our business partners to maximize each employee. We understand the dynamic nature of the industry and work alongside our company strategies. Learn more about our firm here. 

Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees. Learn more about our commitment to our employee’s health, well-being, our benefits program and how we are here for our employees and their families today, tomorrow and beyond here.

All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, sexual orientation, gender identity, national origin, disability, age, marital status, status as a protected veteran or status with regard to public assistance. 

The anticipated starting salary range New York or Connecticut based individuals expressing interest in this position is $120,000 - $180,000 per year.  Placement within this range is dependent upon level of experience, location and other factors.  This position is eligible for annual incentive compensation which will be a part of the total compensation. Total compensation for this position will be competitive with the market.
 

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