Compliance Business Partner / Supervisor - Banking & Capital Markets

Total Compensation: Targeted at $200K – $250K, determined based on candidate’s credentials, experience, and potential value to the firm.

 

Compliance Business Partner / Supervisor - 

Banking & Capital Markets

 

Position Overview:

Our client is a nationally recognized investment firm with more than three decades of success as an SEC-registered broker-dealer. With offices across the U.S., the firm combines the reach and resources of a full-service platform with the personal, relationship-driven approach of an independent advisory culture. Its integrated model allows professionals to engage across a diverse client base — from individuals and families to corporations and institutions — while operating in a forward-looking, entrepreneurial environment.

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The firm’s platform spans the full spectrum of financial services, blending wealth management, institutional coverage, and corporate advisory with a robust investment banking and capital markets presence. Advisors and bankers benefit from access to equity and debt financing, M&A expertise, fixed income, insurance, sales and trading, and sector-focused research. With a proven record of successful execution and a reputation for client-first service, the firm positions itself as a trusted middle-market partner — offering the sophistication of Wall Street with the flexibility and culture of a growth-oriented national firm. As the firm continues to expand its capital markets platform, it is making significant investments in compliance infrastructure to support regulatory excellence and enable long-term strategic growth.

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Currently, they seek to hire a Compliance Business Partner / Supervisor to join their growing firm. As a critical member of the team, this position will play a central role in safeguarding the firm’s reputation, strengthening its risk framework, and enabling strategic growth across capital markets and advisory businesses. This is a highly visible position with daily interaction across senior leadership and direct impact on shaping the firm’s risk culture.

 

Key Responsibilities (include but are not limited to):

​​​Risk & Control Oversight

• Analyze, track, and report on key risk indicators to proactively identify emerging compliance issues, ensuring timely remediation and escalation.
• Continuously assess the effectiveness of compliance risk management programs, recommending enhancements to governance and internal controls.

Regulatory Engagement & Assurance

• Partner with internal auditors and manage responses to regulatory inquiries and examinations (SEC, FINRA, NYSE, state regulators), representing the firm’s compliance standards with credibility and authority.
• Develop robust documentation and audit trails to support firm-wide regulatory readiness.

Policy Development & Training

• Draft, update, and implement compliance policies and procedures to reflect regulatory requirements and evolving business practices.
• Design and deliver periodic training programs to bankers, research analysts, and trading professionals to embed compliance awareness into daily practices.

Research & Investment Banking Interface

• Review equity research reports in the context of investment banking activity to assess conflicts and determine applicability of safe harbor provisions.
• Provide advisory guidance to ensure compliance with Global Research Settlement requirements, Regulation M, and firm policies while supporting seamless business execution.
• Partner with deal teams during offering periods to monitor restricted activities, manage conflicts, and ensure compliance with underwriting standards.

Surveillance & Monitoring

• Conduct ongoing reviews of trading activity and communications to identify potential conflicts, insider trading risks, and regulatory breaches.
• Maintain and monitor the firm’s Watch and Restricted Lists, ensuring timely updates and clear communication with front-office stakeholders.

Advisory & Cross-Functional Partnership

• Lead compliance reviews with Sales, Trading, Research, and Investment Banking professionals on transactions, conflicts, and regulatory issues.
• Review public-facing communications from Investment Banking for compliance with regulatory standards and internal protocols.
• Act as a trusted advisor to business leaders, balancing commercial priorities with regulatory obligations. 

Qualifications:

• Licensing & Credentials: Active FINRA Series 7, 24, and 79 licenses strongly preferred.
• Leadership Experience: 7+ years of compliance/control room experience, including at least 2 years leading projects, processes, or teams in a compliance, control room, or investment banking environment.
• Technical Acumen: Proficiency with surveillance platforms, compliance technology, and advanced Microsoft Office skills. Ability to leverage data and systems to deliver insights and mitigate risk.
• Soft Skills & Cultural Fit: Exceptional communication and influencing skills, with the ability to credibly engage senior stakeholders and regulators. Proven success thriving in a fast-paced, entrepreneurial environment where compliance is both a safeguard and an enabler of business growth.
• Organizational Excellence: Strong prioritization, follow-through, and multi-tasking skills with experience managing high stakes workstreams.
• Educational Foundation: Bachelor’s degree in business, Finance, Accounting, or Economics required; advanced degrees or certifications (e.g., CFA, MBA) are a strong plus.