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Piper Sandler · 3 hours ago

Head of Investment Banking Supervision

Minneapolis, MN

Full-time

Onsite

Director/Executive

$150K/yr - $225K/yr

7+ years exp

Piper Sandler is an investment bank that connects capital with opportunity to build a better future. The Head of Investment Banking Supervision is responsible for overseeing supervisory functions within Investment Banking, focusing on compliance, training, and risk mitigation.

Financial Services

Growth Opportunities

Responsibilities

Perform review of employee electronic communications and escalate appropriately based on situation to Business Line Supervisors, Compliance or Human Capital

Partner with Legal on done deal file review. Conduct thorough reviews of deal files to ensure compliance with regulatory recordkeeping requirements and internal policies

Identify and escalate any issues or discrepancies found during reviews

Develop and implement training programs for supervisory staff to enhance knowledge and skills

Monitor the effectiveness of training initiatives and make adjustments as necessary

Coordinate AML checks on behalf of the deal team

Partner with Compliance when issues arise

Identify potential risks and develop strategies to mitigate them

Collaborate with internal audit and risk management to ensure comprehensive oversight

Liaise with regulatory agencies and external auditors during compliance examinations

Foster relationships with internal stakeholders to promote a culture of compliance

Qualification

Compliance knowledgeRegulatory requirementsSupervisory experienceSeries 7Compliance softwareAnalytical skillsTraining developmentCommunication skillsInterpersonal skillsOrganizational skillsAttention to detailTeam leadership