Senior Compliance Associate – Investment Banking

Bourne Partners; Charlotte (NC); On-site; USD 180,000 - 240,000; Full time

Benefits offered by this job

Competitive compensation

401(k)

Job summary

Bourne Partners seeks an experienced investment banking compliance professional to oversee day-to-day compliance activities, strengthen an established program, and prepare to assume the Chief Compliance Officer role for our US broker-dealer.

This role offers a succession path toward firm-wide Chief Compliance Officer responsibilities, with potential appointment within 6–12 months, subject to readiness and registrations, and will support roughly 30 registered representatives, including

Qualifications

• Direct, substantive experience supporting M&A compliance at a FINRA-member broker-dealer.
• Ability to manage compliance independently and advise investment banking professionals.
• Strong working knowledge of FINRA rules, SEC broker-dealer requirements, licensing and books-and-record obligations.
• Willingness and ability to assume broker-dealer CCO role and obtain or maintain registrations appropriate to the assigned responsibilities.

Responsibilities

• Serve as a primary resource for day-to-day compliance questions across origination, client onboarding, engagement acceptance, transaction marketing, buyer outreach, diligence, and closing.
• Review pitch books, teasers, confidential information memoranda, management presentations, and other transaction or marketing materials for compliance with applicable requirements and firm policies.
• Identify, assess, and elevate conflicts of interest, confidentiality concerns, material nonpublic information risks, and other transaction-related issues.
• Maintain the Watchlist and Restricted List, including timely updates, appropriate information access controls, and coordination with deal teams and employee-trading controls.
• Support compliance for capital-raising and private-placement engagements, including review of relevant materials, processes, and applicable requirements.
• Provide clear, practical guidance to bankers serving both private equity clients and founder-owned businesses.

Skills

M&A compliance

Independent judgment

FINRA rules knowledge

SEC broker-dealer requirements

Watchlists & confidentiality controls

Communications surveillance

CCO readiness

Education

Series 24 registration

Tools

COMPLY

Global Relay

Microsoft compliance tools

Job description

Bourne Partners is seeking an experienced investment banking compliance professional to oversee day-to‑day compliance activities, strengthen an established program, and prepare to assume the Chief Compliance Officer role for our US broker‑dealer.

Direct experience with M&A broker‑dealer compliance is required. This role is designed as a succession opportunity, with potential appointment as broker‑dealer CCO within the first 6–12 months, subject to readiness, required registrations, and formal approval. Over time, the position offers a development path toward firm‑wide Chief Compliance Officer responsibilities, including the opportunity to oversee global compliance.

The successful candidate will combine independent judgment with a practical, business‑minded approach. We value entrepreneurial professionals who take ownership, improve processes, and help transaction teams navigate compliance requirements without compromising regulatory standards.

Our Business and Your Support

Our investment banking business primarily focuses on sell‑side M&A advisory, with a client base of both private equity clients and founder/owner‑operated businesses. We also undertake a limited number of capital‑raising and private‑placement engagements.

The role supports approximately 30 registered representatives, including professionals working from home offices.

You will report directly to the Director of Technical Operations and Risk, who reports to the firm‑wide Chief Compliance Officer and General Counsel. You will have:

• Support from Kroll’s outside compliance consulting team, including a CCO training program before appointment.
• Access to the Managing Partner, who currently serves as firm‑wide Chief Compliance Officer and General Counsel.
• Meaningful autonomy to operate and improve the compliance program.

Key Responsibilities

Investment Banking and Transaction Compliance

• Serve as a primary resource for day‑to‑day compliance questions across origination, client onboarding, engagement acceptance, transaction marketing, buyer outreach, diligence, and closing.
• Review pitch books, teasers, confidential information memoranda, management presentations, and other transaction or marketing materials for compliance with applicable requirements and firm policies.
• Identify, assess, and elevate conflicts of interest, confidentiality concerns, material nonpublic information risks, and other transaction‑related issues.
• Maintain the Watchlist and Restricted List, including timely updates, appropriate information access controls, and coordination with deal teams and employee‑trading controls.
• Support compliance for capital‑raising and private‑placement engagements, including review of relevant materials, processes, and applicable requirements.
• Provide clear, practical guidance to bankers serving both private equity clients and founder-owned businesses.

Communications Review and Employee Compliance

• Take ownership of escalated communications review, working with Kroll, which assists with initial review.
• Investigate alerts and exceptions, document findings and dispositions, elevate material concerns, and track corrective actions.
• Oversee review and record‑keeping workflows across email, SMS, WhatsApp, Microsoft Teams, and other approved business communication channels.
• Identify communications‑capture gaps, unauthorized channels, and opportunities to improve surveillance rules and review effectiveness.
• Oversee employee‑compliance processes, including outside business activities, private securities transactions, investment‑account monitoring, personal trading, disclosures, and policy attestations.
• Administer and improve workflows using COMPLY, Global Relay, and Microsoft’s compliance platform.

Broker‑Dealer Compliance Program

• Maintain and enhance written supervisory procedures, compliance policies, the compliance calendar, and supporting documentation.
• Coordinate regulatory examinations, inquiries, responses, and remediation with leadership, Kroll, outside counsel, and designated supervisory personnel.
• Conduct or coordinate compliance monitoring, supervisory‑controls testing, office reviews, and management reporting, as applicable.
• Manage or coordinate registrations, licensing, continuing education, and applicable regulatory filings.
• Support AML, client due diligence, sanctions screening, employee training, and other compliance programs appropriate to the firm’s business.
• Improve an established program by addressing identified gaps, strengthening documentation, and implementing practical, scalable controls.

CCO Development and Cross‑Border Coordination

• Complete Kroll’s CCO training program and prepare for potential broker‑dealer CCO appointment within 6–12 months.
• Upon appointment, assume responsibility for the US broker‑dealer compliance function within the firm’s governance and supervisory structure.
• Coordinate with UK compliance personnel on cross‑border transactions and US‑registered employees working on secondment in the UK.
• Support compliance planning for additional US offices and continued organizational growth.

The UK office is outside this position’s initial direct compliance oversight responsibilities.

Required Qualifications

• Direct, substantive experience supporting M&A compliance at a FINRA‑member broker‑dealer either internally or externally.
• A demonstrated ability to manage compliance responsibilities independently and advise investment banking professionals.
• Strong working knowledge of applicable FINRA rules, SEC broker‑dealer requirements, licensing and registration, communications review, and books‑and‑records obligations.
• Experience handling confidential transaction information, conflicts of interest, Watchlists and Restricted Lists, or closely related controls.
• Hands‑on experience with communications surveillance, archiving, and employee‑compliance systems.
• Willingness and ability to assume the broker‑dealer CCO role and obtain or maintain registrations appropriate to the assigned responsibilities.
• Strong investigative, documentation, organizational, and written communication skills.
• Confidence to challenge decisions constructively, elevate concerns, and maintain independent judgment.
• Ability to work full‑time in our Charlotte office.

Preferred Qualifications

• Current Series 24 registration. Strong candidates who require additional licensing will be considered.
• Prior experience as a CCO, deputy CCO, or senior compliance professional at a boutique or middle‑market investment bank.
• Familiarity with COMPLY, Global Relay, and Microsoft compliance tools.
• Experience with FINRA examinations, compliance testing, and remediation.
• Experience supporting private placements, capital raising, or cross‑border investment banking activities.
• Experience supervising staff and managing outside compliance providers.
• Approximately five or more years of relevant experience, with demonstrated progression in responsibility.

Why Join Bourne Partners?

• A defined leadership‑development opportunity: Prepare for broker‑dealer CCO responsibilities, with longer‑term potential to lead firm‑wide and global compliance.
• Ownership and access: Work with senior leadership and take meaningful responsibility for improving the compliance function.
• An established support structure: Lead and work alongside experienced outside consultants.
• An entrepreneurial environment: Bring initiative, practical judgment, and ideas that improve how the firm operates.
• Competitive compensation: We are prepared to offer a highly competitive package for an exceptional candidate, including base salary, bonus opportunity, 401(k), and additional benefits.

Work Arrangement

This is a fully in‑office position based in Charlotte, North Carolina, not a hybrid or remote role. We recognize the need for flexibility around personal commitments, vacation, and unexpected circumstances. Occasional remote work may be available when appropriate, but candidates should expect the position to remain office‑based.