Senior Compliance Officer – Capital Markets
Core
Senior Compliance Officer providing regulatory advice, policy development, and risk monitoring for equity and debt capital markets activities.
Role type
Senior IC compliance officer (capital markets)
Builds
Compliance policies, training programs, and regulatory guidance for capital markets transactions
Domain
Financial services / Capital Markets / Regulatory Compliance
Required skills
Juris Doctor (JD) degree, 5+ years compliance experience, private placement/underwriting expertise, SEC/FINRA rules knowledge, cross-border regulatory knowledge, stakeholder partnership, regulatory exam support
Preferred skills
Broker dealer experience, M&A knowledge, risk control awareness
Technologies
N/A
Responsibilities
Advise on private placement, underwriting, and liability management transactions; Develop and maintain Compliance policies and Written Supervisory Procedures; Establish trusted advisory relationships with senior business leaders; Monitor wall-crossing, conflicts, MNPI, and Regulation Best Interest; Develop and deliver training programs; Monitor regulatory developments; Support regulatory exams and audits
Seniority
Senior, hands-on IC