Compliance Manager - Equity Sales, Trading & Capital Markets at Piper Sandler & Co. in Greenwich, Connecticut

Job Description:

Piper Sandler is a leading middle market investment bank firm serving clients in the U.S. and internationally. The Firm is a leading financial advisory and capital markets firm that wins through deep sector expertise, candid advice and a differentiated, highly productive culture - enabling growth and success for our clients as well as rewarding careers for our employees.

We are currently seeking a Compliance Manager supporting Institutional Equity Sales & Trading to join our team in Greenwich, CT or Minneapolis, MN (temporarily remote). This position will report to the Compliance Director and will support key Business and Compliance initiatives by working closely with business line leaders and other support functions throughout the organization. The Compliance Department is as an integral part of the Firm's overall risk management schema, specifically charged with carrying out regulatory obligations to establish, maintain, review, test and modify the Firm's system of supervision and control.

Responsibilities:

• Perform ongoing monitoring and testing of order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, OATS, Rule 606, etc.)
• Perform ongoing monitoring and testing of capital markets activities and related requirements (i.e. Reg M, FINRA rules 5130/5131, etc.)
• Coordinate and update policies, procedures, processes, and relevant reviews to align with business needs and applicable rules and regulations
• Stay abreast of the local and global regulatory environment and work closely with other Legal and Compliance leads to ensure the firm's adherence to pertinent securities laws and regulations
• Working closely with other Legal and Compliance employees, assist Director with managing regulatory matters, including exams, investigations and inquiries
• Create regular reporting of key metrics and escalation of issues identified during regular monitoring and testing activities to Compliance Director and business line management
• Seek improvement opportunities and efficiencies in compliance oversight reporting as well as control structure within business systems and processes

• Bachelors' degree required - Finance, Business, Accounting, Mathematics, Computer / Data Science, or other relevant field
• 5 - 10 years of experience in Broker Dealer Capital Markets business
• Series 4, 7, 24, 57, 63 securities licenses or ability to obtain within 12 months

• Experience with Institutional Equity Sales & Trading Compliance activities
• Experience with Capital Markets deal executions
• Data analytic reporting experience
• Ability to interact effectively with management and business line leaders
• Ability to prioritize and meet deadlines in a fast paced environment
• Strong business acumen & writing skills
• Strong technical, analytical and problem-solving skills
• Highly detail oriented and strong communication skills