Senior Vice President - Compliance (Monitoring & Assurance)

Responsibilities

PJT Partners is seeking a highly experienced compliance professional to serve as Head of Monitoring & Assurance. This individual will be responsible for the design, implementation, testing and assurance program, ensuring that regulatory obligations, internal policies, and risk controls are met with the highest standards.

Lead a high-performing Compliance Monitoring & Assurance team, fostering a culture of accountability, collaboration, and continuous improvement.

Develop and oversee the firm’s global annual monitoring and assurance plan.

Design and enhance compliance testing methodologies to address emerging regulatory and operational risks.

Conduct independent monitoring and testing reviews across front office and corporate functions.

Identify control gaps, escalate findings and drive timely risk remediation in partnership with business and control stakeholders.

Present monitoring results, trend analyses, and remediation updates to the Compliance Risk Committee.

Work with relevant stakeholders to update compliance policies and procedures in response to monitoring results.

Prepare the firm for regulatory exams by ensuring monitoring and testing frameworks align with regulatory expectations.

Qualifications

• Motivated, smart, and independent candidates with excellent communication skills, a demonstrated ability to write effectively, and a desire to work in a team environment.
• Deep understanding of U.S. broker-dealer regulatory framework (SEC and FINRA).
• Leadership experience managing a monitoring team.
• Strong analytical skills and ability to translate regulatory obligations into actionable monitoring steps.
• Ability to communicate clearly with others, both orally and in writing and be able to influence and, if necessary, challenge others when required.
• Collaborative mindset and the ability to effectively partner with internal and external stakeholders.
• Strong risk and control awareness, with ability to identify and escalate issues promptly.
• Strong analytical, prioritization and organization skills.
• Proficiency in Microsoft Office, including Excel, PowerPoint, and Word.

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.

Schedule

Not specified.

Benefits

Not specified.