Compliance Manager – Anti Money Laundering (AML)

At Piper Sandler, we connect capital with opportunity to build a better future.

Piper Sandler is a leading institutional middle market investment bank firm serving clients in the U.S. and internationally. The firm focuses on financial advisory and capital markets 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 responsible for assisting in the direction and execution of Piper Sandler’s compliance efforts surrounding our Anti-Money Laundering (AML) and Anti-Bribery programs. This position will report to the Chief AML Officer and is primarily responsible for performing various compliance and oversight functions designed to ensure compliance with rules, regulations, and internal policies. The Compliance Department is 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

• Assist the Chief AML Officer in testing and maintaining the firm’s policies and procedures, ensuring adherence to the BSA, SEC, FINRA, and other relevant regulations.
• Conduct securities transaction surveillance and client account reviews for red flags and suspicious activity
• Collaborate with the Chief AML Officer in identifying potential risks and determine how to mitigate
• Partner with Equities and Investment Banking teams to answer questions, provide training, and vet risks as needed
• Work with the Account Opening group as new accounts are opened that may present AML risk
• Communicate with our partners in Operations in the ongoing testing and ad hoc issues related to the customer identification program
• Participate in the AML risk assessment update process
• Work with our client screening vendor to ensure data feeds are working properly and complete the review and distribution of information returned from the vendor
• Ability to draft Suspicious Activity Reports (SAR) and support the Chief AML Officer with other duties as needed
• Collaborate with other departments to address compliance-related issues and ensure effective controls are in place.
  
  

Qualifications

• 7-10 years of experience with Anti-Money Laundering and Anti-Bribery, relevant regulations, and industry standards; prior experience with an institutional broker-dealer desired.
• Bachelors’ degree required - Business, Finance, Economics, or related field preferred. Advanced degree or certification (e.g., JD, MBA, Series 7, 24, 52, 53, CAMS, etc.) desired.
• Proficient with Microsoft Office Suite required. Advanced knowledge of Tableau, Netx360, Actimize, and Eventus systems desired.
• Strong communication and interpersonal skills with the ability to interact and collaborate effectively across departments in a professional manner in a variety of situations.
• Attention to detail and ability to handle multiple priorities simultaneously while maintaining a positive and productive attitude.
• Ability to handle confidential and sensitive information and the ability to handle matters with discretion when required.
• Ability and willingness to travel up to 10% per year.
  
  

Our human capital, technology, marketing and other corporate support teams work with our business partners to maximize each employee. We understand the dynamic nature of the industry and work alongside our company strategies. Learn more about our firm .

Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees. Learn more about our commitment to our employee’s health and well-being. Learn more about our and how we are here for our employees and their families today, tomorrow and beyond.

All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, sexual orientation, gender identity, national origin, disability, age, marital status, status as a protected veteran or status with regard to public assistance.

The anticipated starting salary range for individuals expressing interest in this position is $ $100,000 - 150,000 per year. Placement within this range is dependent upon level of experience, location and other factors. This position is eligible for annual incentive compensation which will be a part of the total compensation. Total compensation for this position will be competitive with the market.