This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Business Line Compliance Officer based in the United States.
This role is a high-impact compliance advisory position supporting investment banking and capital markets activities within a fast-paced, regulated financial environment. You will act as a front-line compliance partner to client-facing business lines, ensuring that trading, advisory, and capital markets activities align with applicable securities regulations and internal policies. The role combines regulatory expertise with hands-on advisory work, requiring close collaboration with senior stakeholders across business and control functions. You will help shape compliance frameworks, enhance supervisory controls, and support the development of policies that strengthen risk management across private-side activities. In addition, you will contribute to marketing and communications reviews, ensuring all client-facing materials meet regulatory standards. This is a highly analytical and autonomous role where judgment, precision, and communication are essential. It offers exposure to complex financial products and strategic transactions in a dynamic institutional setting.
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 procedures.
- Excellent analytical, critical thinking, and problem-solving skills with strong attention to detail.
- Strong written and verbal communication skills, with the ability to influence stakeholders at all levels.
- Ability to work independently while managing multiple priorities in a fast-paced, high-pressure environment.
- FINRA licenses required or in progress (Series 7 or 79 and Series 24, or ability to obtain within 120 days).
- Proficiency with Microsoft Office tools and familiarity with compliance and financial industry systems is a plus.
Benefits:
- Competitive base salary range of $130,000 – $170,000 USD.
- Performance-based bonus eligibility.
- Comprehensive health coverage including medical, dental, and vision insurance.
- Health Savings Account (HSA) and Flexible Spending Accounts (FSA).
- Retirement and financial security programs, including ESOP participation.
- Paid vacation, personal days, and company holidays.
- Life insurance, disability coverage, and income protection benefits.
- Wellness support including fitness discounts, commuter benefits, and mental health resources.
- Employee recognition programs and professional development opportunities.
How Jobgether works:
We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.
We appreciate your interest and wish you the best!
Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.
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