Head of Investment Banking Supervision

Piper Sandler & Co. • Minneapolis, MN

1d

About The Position

At Piper Sandler, we connect capital with opportunity to build a better future. We believe that diverse teams with unique backgrounds, skills and experiences yield more innovative solutions. This is reflected in our commitment to engage, hire, and retain bright, committed people to work in partnership within an inclusive environment that allows each person to achieve personal success and add value to our teams and communities. We are currently seeking a Head of Investment Banking Supervisor in our Minneapolis, MN office . The Head of Investment Banking Supervision is responsible for overseeing supervisory functions within Investment Banking. This role will focus on email review, deal file review, partner with Compliance on supervisor training and coordinate AML checks to ensure adherence to regulatory standards and internal policies. The Director will collaborate with various departments to foster a culture of compliance and mitigate risks associated with supervisory practices.

Requirements

• Minimum of 7-10 years of experience in compliance, supervision, or a related field within the financial service industry.
• Series 7 and 24 or ability to obtain within 6 months.
• Strong knowledge of regulatory requirements and compliance frameworks.
• Excellent analytical, communication, and interpersonal skills.
• Proven ability to lead and train teams effectively.
• Experience with compliance software and tools.
• Strong organizational skills and attention to detail.

Responsibilities

• Perform review of employee electronic communications and escalate appropriately based on situation to Business Line Supervisors, Compliance or Human Capital.
• Partner with Legal on done deal file review.
• Conduct thorough reviews of deal files to ensure compliance with regulatory recordkeeping requirements and internal policies.
• Identify and escalate any issues or discrepancies found during reviews.
• Develop and implement training programs for supervisory staff to enhance knowledge and skills.
• Monitor the effectiveness of training initiatives and make adjustments as necessary.
• Coordinate AML checks on behalf of the deal team.
• Partner with Compliance when issues arise.
• Identify potential risks and develop strategies to mitigate them.
• Collaborate with internal audit and risk management to ensure comprehensive oversight.
• Liaise with regulatory agencies and external auditors during compliance examinations.
• Foster relationships with internal stakeholders to promote a culture of compliance.

Benefits

• 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, well-being, our benefits program and how we are here for our employees and their families today, tomorrow and beyond here .
• 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 individuals expressing interest in this position is $150,000 - $225,000 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed