PJT Partners · 3 hours ago
Senior Compliance Officer – Capital Markets
New York, United States
Full-time
Onsite
Senior Level
$175K/yr - $200K/yr
5+ years expPJT Partners is a global advisory-focused investment bank, seeking a highly motivated compliance professional to cover their equity and debt capital markets business activities. The role involves providing compliance advice, developing policies, and establishing relationships with senior business leaders while monitoring regulatory developments.
AdviceAsset ManagementConsultingFinancial ServicesOil and GasReal Estate Investment
Responsibilities
Provisioning of advice on private placement, underwriting, and liability management transactions, encompassing advise on transaction documentation and regulatory requirements
Develop, maintain and enhance Compliance policies and Written Supervisory Procedures
Establishing and maintaining trusted advisory relationships with senior business leaders, serving as a strategic partner on compliance matters and transactional risk
Advise on cross-border considerations, including Rule 15a-6 and U.S. personnel conducting activity abroad, in coordination with the global Compliance team
Monitor wall-crossing, conflicts, handling of MNPI, applicability of suitability obligations, inclusive of the requirements of Regulation Best Interest
Develop and deliver training program for capital markets professionals
Monitor and advise the firm in relation to regulatory developments
Support regulatory exams, audits or testing inquiries or requests
Qualification
Required
Juris Doctor (JD) degree required
5 years' experience as a compliance professional (preferably at a broker dealer in a similar role)
Extensive experience advising on private placements, underwriting, and liability management transactions, including deep knowledge of related documentation and regulatory requirements
Comprehensive understanding of SEC and FINRA rules and procedures and practical application
Deep knowledge of M&A, capital markets and fund marketing services, including cross-border regulatory considerations
Proven ability to partner closely with front office and senior stakeholders, embedding compliance into business decision-making and promoting a risk-aware culture
Highly organized and detail-oriented, with the ability to take initiative and manage competing priorities
Excellent verbal and written communication and presentation skills, with the confidence to challenge constructively when necessary
Collaborative mindset, with the ability to work independently while contributing to global Legal & Compliance and broader Corporate teams
Demonstrated ability to identify, assess and escalate compliance issues promptly and effectively
Strong analytical, prioritization and organization skills
Deep risk and control awareness, with the ability to translate regulatory expectations into practical guidance
Benefits
Discretionary bonus component
Company
PJT Partners
PJT Partners is an investment banking firm that provides asset management, debt execution, strategic advisory, and fundraising services.
501-1000 employees
H1B Sponsorship
PJT Partners 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 (71)
2024 (79)
2023 (77)
2022 (57)
2021 (49)
2020 (28)
Funding
Current Stage
Public CompanyTotal Funding
unknownKey Investors
Corsair Capital
2018-08-28Post Ipo Equity
2015-10-02IPO
Leadership Team
Chris Holt
Partner
Don Cornwell
Member Board of Directors
Recent News
2025-11-11
2025-11-09
DBusiness Magazine
2025-11-05
Company data provided by crunchbase