Piper Sandler · 3 months ago
Head of Investment Banking Supervisor
Minneapolis, MN - HQ
Full-time
Onsite
Director/Executive
$150K/yr - $225K/yr
7+ years expPiper Sandler is a leading investment bank that connects capital with opportunity to build a better future. The Head of Investment Banking Supervisor will oversee supervisory functions within Investment Banking, focusing on compliance, training, and risk management to ensure adherence to regulatory standards and internal policies.
Financial Services
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
Required
Minimum of 7-10 years of experience in compliance, supervision, or a related field within the financial service industry
Series 7 and 24 or ability to obtain within 6 months
Strong knowledge of regulatory requirements and compliance frameworks
Excellent analytical, communication, and interpersonal skills
Proven ability to lead and train teams effectively
Preferred
Experience with compliance software and tools
Strong organizational skills and attention to detail
Benefits
Employee’s health, well-being, our benefits program and how we are here for our employees and their families today, tomorrow and beyond
Company
Piper Sandler
Piper Sandler Companies (NYSE: PIPR) is a leading investment bank driven to help clients Realize the Power of Partnership®.
1001-5000 employees
H1B Sponsorship
Piper Sandler has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (5)
2024 (7)
2023 (6)
2022 (4)
2021 (3)
2020 (2)
Funding
Current Stage
Late StageLeadership Team
Chad Abraham
Chairman and Chief Executive Officer
Katherine Clune
Chief Financial Officer
Recent News
2023-12-16
2023-12-15
Company data provided by crunchbase