Senior Compliance Officer – Capital Markets

PJT Partners, Inc; New York (NY); On-site; USD 175,000 - 200,000; Full time

Job summary

PJT Partners, Inc. is seeking a Senior Compliance Officer to oversee capital markets compliance for equity and debt activities in New York.

This lead role reports to the Chief Compliance Officer and involves advising on private placements, underwriting, and liability management, while developing policies and partnering with senior leaders to manage regulatory risk. You will monitor regulatory changes, train capital markets professionals, and support exams and inquiries in a globally distributed

Qualifications

• Juris Doctor degree is required.
• 5 years of experience as a compliance professional.
• Extensive experience advising on private placements, underwriting, and liability management transactions.
• Deep knowledge of SEC and FINRA rules and procedures.
• Strong knowledge of M&A, capital markets and fund marketing services, including cross-border considerations.
• Proven ability to partner with front office and senior stakeholders to embed compliance into business decisions.
• Excellent organizational, analytical, and prioritization skills.
• Excellent verbal and written communication and presentation skills.

Responsibilities

• Provide advice on private placement, underwriting, and liability management transactions; advise on transaction documentation and regulatory requirements.
• Develop, maintain and enhance Compliance policies and Written Supervisory Procedures.
• Establish trusted advisory relationships with senior business leaders as a strategic compliance partner.
• Advise on cross-border considerations and coordinate with global Compliance team.
• Monitor wall-crossing, conflicts, MNPI handling, and Regulation Best Interest obligations.
• Develop and deliver training programs for capital markets professionals.
• Monitor regulatory developments and support regulatory exams, audits or inquiries.

Skills

Communication skills

Regulatory knowledge

Analytical thinking

Cross-border regulatory

Front office collaboration

Education

Juris Doctor (JD) degree

Job description

Senior Compliance Officer – Capital Markets### Senior Compliance Officer – Capital MarketsApply: New York: Full time: Posted 30+ Days Ago: R0002853PJT Partners is a global advisory-focused investment bank. Our team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We offer a unique portfolio of advisory services designed to help our clients achieve their strategic objectives. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.From the beginning, PJT Partners has firmly believed that having the best people is key to building an enduring franchise. Our perspective was, and remains, that a great team brings in both top tier clients and appeals to a wide-range of diverse, talented colleagues. Fostering an inclusive culture, which welcomes differing perspectives and beliefs, enables us to provide the best advice and insights to our clients.To learn more about PJT Partners, please visit our website at www.pjtpartners.com.# **Responsibilities**PJT Partners is seeking to hire a highly motivated compliance professional to cover our equity and debt capital markets business activities. This is a new role reporting into the firm’s Chief Compliance Officer, that provides a great opportunity for an individual who can work independently and as part of a global team. Primary responsibilities of the successful candidate include:* Provisioning of advice on private placement, underwriting, and liability management transactions, encompassing advise on transaction documentation and regulatory requirements* Develop, maintain and enhance Compliance policies and Written Supervisory Procedures* Establishing and maintaining trusted advisory relationships with senior business leaders, serving as a strategic partner on compliance matters and transactional risk* Advise on cross-border considerations, including Rule 15a-6 and U.S. personnel conducting activity abroad, in coordination with the global Compliance team* Monitor wall-crossing, conflicts, handling of MNPI, applicability of suitability obligations, inclusive of the requirements of Regulation Best Interest* Develop and deliver training program for capital markets professionals* Monitor and advise the firm in relation to regulatory developments* Support regulatory exams, audits or testing inquiries or requests# **Qualifications**PJT Partners looks for motivated, smart, and independent candidates. The successful candidates should have excellent communication skills, a demonstrated ability to write effectively, and a desire to work in a team environment. The ideal candidate will also have the following qualifications and skills:* Juris Doctor (JD) degree required* 5 years’ experience as a compliance professional (preferably at a broker dealer in a similar role)* Extensive experience advising on private placements, underwriting, and liability management transactions, including deep knowledge of related documentation and regulatory requirements* Comprehensive understanding of SEC and FINRA rules and procedures and practical application* Deep knowledge of M&A, capital markets and fund marketing services, including cross-border regulatory considerations* Proven ability to partner closely with front office and senior stakeholders, embedding compliance into business decision-making and promoting a risk-aware culture* Highly organized and detail-oriented, with the ability to take initiative and manage competing priorities* Excellent verbal and written communication and presentation skills, with the confidence to challenge constructively when necessary* Collaborative mindset, with the ability to work independently while contributing to global Legal & Compliance and broader Corporate teams* Demonstrated ability to identify, assess and escalate compliance issues promptly and effectively* Strong analytical, prioritization and organization skills* Deep risk and control awareness, with the ability to translate regulatory expectations into practical guidanceExpected annualized base salary of $175,000-$200,000.This range represents the low and high ends of the expected annualized base salary for this position. The specific base salary received by any employee will be informed by a number of factors, including but not limited to, role level and scope, location, candidate’s relevant qualifications, skills and experience.Base salary is one component of PJT Partners’ compensation structure. In addition to base salary, PJT Partners’ compensation structure may include additional rewards, incentives and benefits, including but not limited to, a discretionary bonus component.*PJT is an equal opportunity employer. We do not discriminate on the basis of, and will consider all qualified applicants for employment without regard to race, color, religious creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity expression, disability, medical condition, genetic information or predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other category protected by law. PJT Partners also complies with all applicable laws with regard to providing reasonable accommodation of disabilities to applicants. For more information or to request an accommodation, please contact Human Resources.****California Applicants:*** *PJT Partners will consider for employment qualified applicants with arrest and/or conviction records in a manner consistent with applicable law including, but not limited to, the San Francisco Fair Chance Ordinance and/or Los Angeles Fair Chance Initiative for Hiring Ordinance.****Applicant Privacy Notice:****View our Applicant Privacy Notice* *https://info.pjtpartners.com/PJT\\_Global\\_Applicant\\_Privacy\\_Notice* *here. If you are a California resident, please refer to our California Applicant Privacy Notice* *https://info.pjtpartners.com/California\\_Applicant\\_Privacy\\_Notice* *for further information.***\\*In order to be considered, please ensure your resume/CV is submitted in PDF format.**