Senior Compliance Officer – Capital Markets

Responsibilities

PJT Partners is seeking to hire a highly motivated compliance professional to cover our equity and debt capital markets business activities. This is a new role reporting into the firm’s Chief Compliance Officer, that provides a great opportunity for an individual who can work independently and as part of a global team.

Primary Responsibilities Of The Successful Candidate Include:

• Provisioning of advice on private placement, underwriting, and liability management transactions, encompassing advise on transaction documentation and regulatory requirements
• Develop, maintain and enhance Compliance policies and Written Supervisory Procedures
• Establishing and maintaining trusted advisory relationships with senior business leaders, serving as a strategic partner on compliance matters and transactional risk
• Advising on cross-border considerations, including Rule 15a-6 and U.S. personnel conducting activity abroad, in coordination with the global Compliance team
• Monitor wall-crossing, conflicts, handling of MNPI, applicability of suitability obligations, inclusive of the requirements of Regulation Best Interest
• Develop and deliver training program for capital markets professionals
• Monitor and advise the firm in relation to regulatory developments
• Support regulatory exams, audits or testing inquiries or requests

Qualifications

• Juris Doctor (JD) degree required
• 5 years’ experience as a compliance professional (preferably at a broker dealer in a similar role)
• Extensive experience advising on private placements, underwriting, and liability management transactions, including deep knowledge of related documentation and regulatory requirements
• Comprehensive understanding of SEC and FINRA rules and procedures and practical application
• Deep knowledge of M&A, capital markets and fund marketing services, including cross-border regulatory considerations
• Proven ability to partner closely with front office and senior stakeholders, embedding compliance into business decision-making and promoting a risk-aware culture
• Highly organized and detail-oriented, with the ability to take initiative and manage competing priorities
• Excellent verbal and written communication and presentation skills, with the confidence to challenge constructively when necessary
• Collaborative mindset, with the ability to work independently while contributing to global Legal & Compliance and broader Corporate teams
• Demonstrated ability to identify, assess and escalate compliance issues promptly and effectively
• Strong analytical, prioritization and organization skills
• Deep risk and control awareness, with the ability to translate regulatory expectations into practical guidance

Pay

Expected annualized base salary of $175,000-$200,000. This range represents the low and high ends of the expected annualized base salary for this position. The specific base salary received by any employee will be informed by a number of factors, including but not limited to, role level and scope, location, candidate’s relevant qualifications, skills and experience.