Business Line Compliance Officer

About the Position

We are expanding our Business Line ("BL") Compliance team and adding advisory support for our Investment Banking and Capital Markets businesses. The BL Compliance team provides regulatory guidance and support to the firm’s client-facing businesses.

This is an opportunity to work directly with the firm’s client-facing business lines, senior advisory compliance team members, and senior management. This role is open to remote candidates residing in the following states: AZ, CA, CT, FL, GA, HI, IL, IN, MA, MD, MI, MN, MO, MS, NC, ND, NJ, NV, NY, OH, PA, PR, SC, SD, TN, TX, UT, VA, WA, WI.

• Provide daily front-line compliance advisory support to the Firm’s Investment Banking and Capital Markets businesses.
• Advise on firm policies and procedures and applicable securities laws and regulations for covered business lines (and provide back-up support for others).
• Develop policies and controls to align, supervise, and monitor Capital Markets and Investment Banking activity with regulatory requirements and industry best practices.
• Oversee implementation and daily execution of sales-practice components of the Firm’s compliance program across Equities and Fixed Income for private-side activities.
• Lead and/or participate as the private-side SME for projects to build processes and controls to comply with transactional rules and regulations, including remediations.
• Support the Compliance Marketing Officer with marketing reviews and advise on LinkedIn posts, investor presentations, deal materials, and client education content for supported business lines.
• Partner with business management and other departments to support existing processes and develop new processes that address business risk and regulatory requirements.
• Support the development, implementation, maintenance, and enhancement of programs that provide compliance risk management and supervisory oversight for private-side business lines.
• Develop supervisory tools related to business activity; assist with monitoring and tracking supervisory oversight; and update BL checklists, responsibilities, and reviews as needed.
• Partner with the Control Room to ensure transparency and visibility into Private Side activities. This alignment will strengthen oversight and support the effective management of Private Side obligations across the organization.

Role Requirements

• Understanding of the current regulatory environment, financial markets, and securities regulations.
• Strong fixed-income product knowledge (corporates, agencies, securitized products, municipals, treasuries, and private placements).
• Knowledge of debt capital markets and M&A.
• Excellent written and verbal communication skills.
• Strong analytical and critical thinking skills with sound judgment.
• Experience supporting client-facing business lines and partnering with other infrastructure functions.
• Detail-oriented with the ability to multitask, organize, and prioritize.
• Able to work both collaboratively and independently with limited supervision.
• Comfortable working in a high-pressure and fast-paced environment.
• Willingness to take on challenging issues and engage effectively with colleagues at all levels.
• Consistently deliver high-quality results in a timely manner.

Required Qualifications

• Bachelor’s Degree
• 7+ years experience in compliance/legal at a broker dealer or similar financial institution
• Fixed Income institutional investor products exposure
• Experience with 1st line advisory of Investment Banking and Capital Markets activities
• Experience with Private Placement offerings and related regulations
• Experience with interpreting regulatory rules, developing controls to ensure compliance & writing related policy
• Licenses Requirement(s): Active FINRA Series 7 or 79 licenses; Active Series 24 License (or ability to obtain S24 within 120 days of start date)
• Proficiency with Microsoft applications (Teams, SharePoint, PowerPoint, Excel, Word, etc.)

Preferred Qualifications

• Marketing review experience at an institutional broker-dealer
• Equities exposure, including Equity Capital Markets, a plus
• Experience supporting a business/products with an institutional investor focus
• Previous experience with interpreting SEC, FINRA, MSRB, NFA rules & writing WSPs
• Experience using industry applications (Global Relay, MCO, Doctract, LexisNexis, Bloomberg, etc.)
• Willingness to periodically travel to an office or firm event, as needed, for collaboration with department as well as supported business lines.