Senior Compliance to CCO (Investment Banking)

Bourne Partners Securities, LLC; 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 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