Pjtpartners

Senior Compliance Officer – Capital Markets

New York · Senior

Sponsorship not specified$175k-$200kDetected 19 days ago

Computer VisionM&ACommunicationOrganizational SkillsUnderwriting

About the role

We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.
Our perspective was, and remains, that a great team brings in both top tier clients and appeals to a wide-range of diverse, talented colleagues.
Fostering an inclusive culture, which welcomes differing perspectives and beliefs, enables us to provide the best advice and insights to our clients.

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
Develop and deliver training program for capital markets professionals
Support regulatory exams, audits or testing inquiries or requests

The successful candidates should have excellent communication skills, a demonstrated ability to write effectively, and a desire to work in a team environment.
The ideal candidate will also have the following qualifications and skills:

Extensive experience advising on private placements, underwriting, and liability management transactions, including deep knowledge of related documentation and regulatory requirements

Juris Doctor (JD) degree required
5 years' experience as a compliance professional (preferably at a broker dealer in a similar role)
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
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
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.
PJT is an equal opportunity employer.

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.

nts for employment without regard to race, color, religious creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity expressi

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