Overview:

The Vice President, Compliance Consultant serves as a senior compliance advisor and subject matter expert responsible for providing independent compliance oversight, advisory support, and credible challenge to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets (DCM), and Equity Capital Markets (ECM) activities. Operating within the Second Line of Defense, this role partners closely with business leadership, Legal, Risk, Operations, Internal Audit, and Regulatory Relations to ensure compliance with applicable laws, regulations, regulatory guidance, and internal policies.

The VP Compliance Consultant plays a critical role in identifying, assessing, monitoring, and mitigating regulatory and compliance risks associated with securities underwriting, equity and debt offerings, private placements, institutional sales and trading, syndicate activities, research independence, information barriers, and related capital markets activities.

Key Responsibilities

Compliance Advisory & Risk Oversight

• Provide day-to-day compliance advisory support to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets, and Equity Capital Markets businesses.
• Serve as a trusted advisor to business management regarding regulatory requirements, emerging risks, and industry best practices.
• Deliver independent review and credible challenge of business activities, strategic initiatives, new products, and transactions.
• Advise stakeholders regarding conduct risk, supervisory controls, conflicts of interest, and regulatory expectations.

Regulatory Compliance Program Management

• Identify, assess, and monitor compliance risks within assigned business lines.
• Perform compliance risk assessments and evaluate the effectiveness of existing controls.
• Develop and maintain compliance monitoring and testing programs designed to assess regulatory adherence and control effectiveness.
• Oversee issue management activities, including root cause analysis, corrective action development, and remediation validation.

Investment Banking & Capital Markets Compliance

• Provide compliance guidance related to:
  • Debt Capital Markets (investment-grade and high-yield offerings)
  • Equity Capital Markets (IPOs, secondary offerings, follow-on offerings)
  • Private placements and Rule 144A offerings
  • Mergers and acquisitions advisory activities
  • Syndicate management activities
  • Institutional sales and trading operations
  • Research analyst independence requirements
  • Information barrier programs and insider trading controls
• Review deal-related activities for applicable regulatory and policy compliance.
• Advise on conflicts management and restricted list administration.

Regulatory Change Management

• Monitor and interpret regulatory developments affecting securities, broker-dealer, and investment banking activities.
• Assess the impact of regulatory changes and coordinate implementation efforts.
• Draft and update policies, procedures, guidance documents, and training materials.
• Partner with business leadership to ensure timely adoption of regulatory requirements.

Governance and Regulatory Engagement

• Support regulatory examinations, audits, and supervisory reviews.
• Interface with regulatory agencies and examination teams as appropriate.
• Coordinate responses to regulatory inquiries, audit findings, and compliance-related requests.
• Prepare executive reporting, compliance metrics, risk assessments, and governance committee materials.

Surveillance & Supervisory Programs

• Oversee compliance surveillance activities related to employee conduct and regulated business activities.
• Support electronic communications surveillance, trade surveillance, personal trading oversight, and employee conflicts reviews.
• Evaluate supervisory control frameworks and recommend enhancements where necessary.
• Assist in the development of compliance training and awareness initiatives.

Stakeholder Management

• Establish effective partnerships with senior business leaders, Legal, Risk, Operations, Technology, and Audit functions.
• Influence key stakeholders to achieve risk management and compliance objectives.
• Provide coaching and guidance to junior compliance professionals and business partners.
• Foster a culture of compliance, ethics, and risk awareness throughout the organization.

Knowledge Areas

The successful candidate should possess expertise in:

• Securities Exchange Act of 1934
• FINRA Rules and Regulatory Notices
• SEC Broker-Dealer Regulations
• Investment Adviser Act considerations applicable to institutional activities
• Regulation Best Interest (Reg BI)
• Regulation M
• Rule 144A Offerings
• Securities Offering Processes
• Debt and Equity Underwriting Activities
• Information Barrier Programs
• Insider Trading Prevention
• Research Analyst Rules
• Institutional Sales & Trading
• Market Conduct Requirements
• Supervisory Control Frameworks
• Electronic Communications Surveillance
• Employee Trading and Personal Account Dealing Programs
• AML/BSA and Sanctions considerations relevant to capital markets activities

Qualifications

Required

• Bachelor's degree in Finance, Accounting, Business, Economics, Law, or related field.
• 10+ years of compliance, legal, regulatory, risk management, audit, or related financial services experience.
• Significant experience supporting Institutional Broker-Dealer, Investment Banking, Debt Capital Markets, or Equity Capital Markets businesses.
• Demonstrated knowledge of SEC, FINRA, and securities industry regulatory requirements.
• Experience managing regulatory examinations and interacting with regulators.
• Strong analytical, risk assessment, and problem-solving capabilities.
• Excellent written, verbal, and executive-level communication skills.

Preferred

• Juris Doctor (JD), MBA, or other advanced degree.
• Experience operating within a Second Line Compliance Risk Management function.
• Experience supporting publicly offered debt and equity transactions.
• Prior leadership or team management experience.

Core Competencies

• Regulatory Expertise
• Executive Presence
• Strategic Thinking
• Credible Challenge
• Risk Assessment
• Influencing Without Authority
• Governance and Oversight
• Relationship Management
• Regulatory Change Management
• Leadership and Talent Development
• Written and Verbal Communication
• Project and Program Management

Success Measures

Successful performance is demonstrated through:

• Effective identification and mitigation of regulatory risk.
• Strong partnerships with business and control functions.
• Regulatory examination readiness and successful outcomes.
• Timely implementation of regulatory changes.
• High-quality compliance advisory support.
• Sustainable remediation of compliance issues.
• Enhancement of governance, supervisory, and surveillance frameworks.

This version is structured at the VP/Senior Compliance Officer level and would align well with a large-bank, institutional broker-dealer, or investment banking compliance organization.

Location