Senior Compliance Officer – Capital Markets
Core
Senior Compliance Officer supporting equity and debt capital markets business activities, providing regulatory advice and risk oversight for private placements, underwriting, and liability management transactions.
Role type
Senior IC compliance officer (capital markets)
Builds
Compliance policies, written supervisory procedures, and training programs for capital markets professionals
Domain
Financial services / Capital Markets / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory advice on private placements, underwriting, and liability management; Policy and procedure development; Cross-border regulatory analysis; Wall-crossing and MNPI monitoring; Regulatory exam support; Strategic partnership with senior leaders
Preferred skills
Experience at a broker-dealer; Deep knowledge of M&A and fund marketing services; Ability to embed compliance in business decision-making
Technologies
SEC rules, FINRA rules, Regulation Best Interest, Rule 15a-6
Responsibilities
Advise on transaction documentation and regulatory requirements for private placement, underwriting, and liability management; Develop and maintain compliance policies and written supervisory procedures; Establish trusted advisory relationships with senior business leaders; Monitor wall-crossing, conflicts, MNPI, and suitability obligations; Develop and deliver training programs for capital markets professionals; Monitor regulatory developments and support regulatory exams or audits
Seniority
Senior, hands-on IC
