Compliance Manager

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 Equity Sales, Trading, and Capital Markets lines of business. This position will report to the Compliance Director 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 Compliance Director in testing and maintaining the firm’s policies and procedures to align with business activities, ensuring adherence to SEC, FINRA, and Exchange rules and other relevant regulations.

• Assist in responding to any regulatory inquiries, examinations or investigations relating to Equity Sales, Trading, and Capital Markets products and policies

• Perform testing of order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, Rule 606, etc.) and capital markets requirements (i.e. Reg M, FINRA rules 5130/5131, etc.) on a regular and ongoing basis

• Prepare written reports to management documenting compliance reviews and results, including all areas of potential non-compliance along with potential solutions for corrective actions.

• Collaborate with other departments to address compliance-related issues and ensure effective controls are in place.

• Support the development and delivery of compliance training for employees.

• Assist in the branch office inspection program as needed.

• Stay abreast of the local and global regulatory environment and work closely with other Legal and Compliance leads to ensure the firm adherence or communicate updates needed

• 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

Qualifications:

• 
  7-10 years of experience with institutional equity sales, trading, and capital markets, relevant regulations, and industry standards

• Bachelors’ degree required - Business, Finance, Economics, or related field preferred. Advanced degree or certification (e.g., JD, MBA, Series 4, 7, 24, 57, 63) desired.

• Proficient with Microsoft Office Suite required. Advanced knowledge of Tableau, Netx360, Broadridge, Eventus (or equivalent industry systems) desire

• 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.

Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees.

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.

• LI-BSL1