Company
FinTech
BusinessLineComplianceOfficer
Neural analysis suggests this role is
optimal for Senior candidates.
“Business Line Compliance Officer. Skills: compliance advisory, securities laws, investment banking, capital markets, financial markets. Provide day-to-day front-line compliance advisory support to investment banking and capital markets business lines, ensuring adherence to regulatory requirements and internal policies. Advise on applicable securities laws, regulations, and firm policies, providing guidance across equities and fixed income private-side activities. Develop, enhance, and implement ”
Industry & Context.
analytical skills; critical thinking; problem-solving skills
FINRA licenses required or in progress (Series 7 or 79 and Series 24, or ability to obtain within 120 days).
What They're Looking For.
Must Have
Bachelor’s degree in Finance, Law, Business, or a related field. 7+ years of experience in compliance, legal, or regulatory roles within a broker-dealer or financial institution. ability to interpret regulations, design controls, and draft or enhance compliance policies and procedures. Ability to work independently while managing multiple priorities in a fast-paced, high-pressure environment.
Nice to Have
Proficiency with Microsoft Office tools and familiarity with compliance and financial industry systems is a plus.
What You'll Do.
Provide day-to-day front-line compliance advisory support to investment banking and capital markets business lines, ensuring adherence to regulatory requirements and internal policies.
Advise on applicable securities laws, regulations, and firm policies, providing guidance across equities and fixed income private-side activities.
Develop, enhance, and implement compliance policies, supervisory controls, and monitoring frameworks aligned with regulatory standards and best practices.
Lead or support compliance initiatives and projects, including remediation efforts and the design of new control processes for transactional activities.
Review and advise on marketing materials, including investor presentations, deal documentation, LinkedIn content, and client communications.
Partner with business leaders and control functions to identify regulatory risks and design effective operational processes and safeguards.
Support the development and maintenance of supervisory tools, tracking mechanisms, and compliance checklists for business line oversight.
Collaborate with the Control Room to ensure transparency and effective oversight of private-side activities.
Contribute to the continuous improvement of compliance programs supporting investment banking and capital markets operations.
How You'll Work.
Team & Collaboration
Partner with business leaders and control functions to identify regulatory risks and design effective operational processes and safeguards. Collaborate with the Control Room to ensure transparency and effective oversight of private-side activities.
Communication Scope
written communication; verbal communication
Process & Methodology
remediation efforts, design of new control processes
Full Job Description
## Accountabilities Provide day-to-day front-line compliance advisory support to investment banking and capital markets business lines, ensuring adherence to regulatory requirements and internal policies. Advise on applicable securities laws, regulations, and firm policies, providing guidance across equities and fixed income private-side activities. Develop, enhance, and implement compliance policies, supervisory controls, and monitoring frameworks aligned with regulatory standards and best practices. Lead or support compliance initiatives and projects, including remediation efforts and the design of new control processes for transactional activities. Review and advise on marketing materials, including investor presentations, deal documentation, LinkedIn content, and client communications. Partner with business leaders and control functions to identify regulatory risks and design effective operational processes and safeguards. Support the development and maintenance of supervisory tools, tracking mechanisms, and compliance checklists for business line oversight. Collaborate with the Control Room to ensure transparency and effective oversight of private-side activities. Contribute to the continuous improvement of compliance programs supporting investment banking and capital markets operations. Requirements: Bachelor’s degree in Finance, Law, Business, or a related field. 7+ years of experience in compliance, legal, or regulatory roles within a broker-dealer or financial institution. Strong understanding of financial markets, securities regulations, and the broader regulatory environment (SEC, FINRA, MSRB, etc.). Deep knowledge of fixed income products, including corporates, municipals, agencies, treasuries, securitized products, and private placements. Experience supporting investment banking and capital markets business lines in a first-line advisory capacity. Strong ability to interpret regulations, design controls, and draft or enhance compliance policies and proc
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