Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY)
Core
Senior compliance advisor providing independent oversight, advisory support, and credible challenge to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets, and Equity Capital Markets activities.
Role type
Senior IC compliance consultant (capital markets)
Builds
Compliance monitoring programs, risk assessments, and governance frameworks for capital markets businesses
Domain
Financial Services / Capital Markets / Regulatory Compliance
Required skills
Regulatory expertise (SEC, FINRA), risk assessment, issue management, regulatory change management, stakeholder influence, supervisory control design, policy development
Preferred skills
JD or MBA, leadership experience, publicly offered transaction experience
Technologies
N/A
Responsibilities
Provide day-to-day compliance advisory to Institutional Broker-Dealer and Investment Banking businesses; Identify, assess, and monitor compliance risks within assigned business lines; Draft and update policies, procedures, and guidance documents; Support regulatory examinations and interface with regulatory agencies; Oversee compliance surveillance activities related to employee conduct and regulated business activities
Seniority
Senior, hands-on IC with strategic advisory scope
