Senior Compliance - Investment Banking

Location: New York. NY (hybrid)

Overview:

We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic recommendations in complex scenarios. The ideal candidate will thrive in a dynamic environment, offering mentorship to junior staff while navigating evolving regulations.

Title & Salary is flexible and dependent on experience.

Key Responsibilities:

• Conduct thorough analysis and provide recommendations on regulatory scenarios, such as preclearance requests for Outside Business Activities (OBA), Personal Securities Transactions (PST), and rule changes or new regulatory guidance.
• Ensure the firm’s compliance with SEC and FINRA requirements.
• Stay updated on new regulations and assess their firmwide impact, driving necessary policy adjustments.
• Serve as a mentor and coach for junior compliance teams, providing guidance and support in professional development.
• Collaborate with senior leadership on regulatory strategy and decision-making.
• Support the firm’s broader compliance efforts by ensuring best practices are followed and regulatory risks are mitigated.

Qualifications:

• Extensive experience with SEC/FINRA regulatory requirements, ideally within an M&A or advisory boutique environment.
• Strong analytical skills with the ability to assess complex scenarios and offer clear, actionable recommendations.
• Previous supervisory experience with a focus on mentoring and developing junior team members.
• Legal or regulatory background preferred