Compliance Manager - Equity Sales, Trading & Capital Markets - Piper Sandler & Co.

At Piper Sandler, we connect capital with opportunity to build a better future.

We believe diverse teams with unique backgrounds, skills and experiences yield more innovative solutions. Our mission is to recruit, develop, retain and engage a diverse, high-performing team. Our business enables bright, committed people working in partnership within an environment that allows each person to achieve at a high level. We commit to encouraging and valuing inclusivity because every partner brings unique perspectives that help us better serve our clients.

We are currently looking for a Compliance Manager supporting Institutional Equity Sales & Trading to join the team in Minneapolis, Minnesota.

This position will report to the Compliance Director and will support key Business and Compliance initiatives by working closely with business line leaders and other support functions throughout the organization. The Compliance Department is as 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:

• Perform ongoing monitoring and testing of order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, Rule 606, etc.)
• Perform ongoing monitoring and testing of capital markets activities and related requirements (i.e. Reg M, FINRA rules 5130/5131, etc.)
• Coordinate and update policies, procedures, processes, and relevant reviews to align with business needs and applicable rules and regulations
• Stay abreast of the local and global regulatory environment and work closely with other Legal and Compliance leads to ensure the firm's adherence to pertinent securities laws and regulations
• Working closely with other Legal and Compliance employees, assist Director with managing regulatory matters, including exams, investigations and inquiries
• 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

Basic Qualifications:

• Bachelors' degree required - Finance, Business, Accounting, Mathematics, Computer / Data Science, or other relevant field
• 5 - 10 years of experience in Broker Dealer Capital Markets business
• Series 4, 7, 24, 57, 63 securities licenses or ability to obtain within 12 months

Preferred Skills / Experience:

• Experience with Institutional Equity Sales & Trading Compliance activities
• Experience with Equity Order Management System and Back Office Clearing Operations
• Experience with Capital Markets deal executions
• Data analytic reporting experience
• Ability to interact effectively with management and business line leaders
• Ability to prioritize and meet deadlines in a fast paced environment
• Strong business acumen & writing skills
• Strong technical, analytical and problem-solving skills
• Highly detail oriented and strong communication skills

As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture.

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. Learn more about our firm here .

Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees. Learn more about our commitment to our employee's health and well-being. Learn more about our benefits program and how we are here for our employees and their families today, tomorrow and beyond.

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 New York-based individuals expressing interest in this position is $90,000 - $150,000 per year. Placement within this range is dependent upon level of experience. 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.

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