Summary 

The Compliance role is based in New York and provides dedicated support to PWM Capital Markets within the Americas Wealth Management division. The role focuses on capital markets, equity structuring, and managed strategies, including derivatives, structured products, and new issue securities. You will provide real-time advisory services (including product/trade approvals and cross border review), manage regulatory projects, update policies and procedures, conduct thematic compliance reviews and surveillances and ensure that business activities align with U.S. federal securities laws.

Principal Responsibilities 

• Policy & Procedure Management: Maintain and update compliance policies, procedures and control documentation 
• Regulatory Advisory: Provide day-to-day compliance advice on suitability standards for retail and institutional clients and product structuring
• Forensic Reviews: Conduct periodic forensic reviews and thematic compliance assessments
• Supervisory Reporting: Coordinate and deliver supervisory reports to Desk Heads, highlighting potential conduct breaches or emerging risks in the business
• Surveillance & Monitoring: Execute trading and suitability surveillance

Additional Responsibilities

• Marketing Review: Provide compliance sign-off for marketing materials and client communications prepared for distribution to clients/prospects
• Product Governance: Participate in the design and approval process for new financial products, ensuring risk disclosures and conflict-of-interest mitigations
• GenAI Oversight:  Monitor the implementation of Generative AI tools within the business, ensuring compliance with regulatory guidelines and internal policies
• Regulatory Change Management: Analyze the impact of U.S. and regional regulatory shifts and manage implementation efforts.
• Training: Develop and deliver training modules for business personnel on compliance topics
• Committee Representation: Represent Compliance in divisional committees, such as the Best Execution and Product Review Committees.

Experience/Skills

• Education: University degree in Finance, Compliance, or a related field
• Experience: 1+ year of compliance or relevant financial services experience (Wealth Management or Product Compliance preferred)
• Regulatory Knowledge: Knowledge of the U.S. regulatory environment (SEC, FINRA, CFTC)
• Certifications: FINRA Series 7, Series 9/10 is highly preferred
• Product Knowledge: Knowledge of structured products, derivatives, and alternative investments
• Analytical Skills: Ability to analyze complex data sets and exercise sound judgment under pressure
• Communication: Excellent interpersonal and written communication skills

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