Jobgether
Business Line Compliance Officer
TLDR
High-impact compliance advisory partner supporting investment banking and capital markets, shaping policies, controls, and regulatory alignment in a fast-paced, regulated environment.
Accountabilities:
- Provide day-to-day front-line compliance advisory support to investment banking and capital markets business lines, ensuring adherence to regulatory requirements and internal policies.
- Advise on applicable securities laws, regulations, and firm policies, providing guidance across equities and fixed income private-side activities.
- Develop, enhance, and implement compliance policies, supervisory controls, and monitoring frameworks aligned with regulatory standards and best practices.
- Lead or support compliance initiatives and projects, including remediation efforts and the design of new control processes for transactional activities.
- Review and advise on marketing materials, including investor presentations, deal documentation, LinkedIn content, and client communications.
- Partner with business leaders and control functions to identify regulatory risks and design effective operational processes and safeguards.
- Support the development and maintenance of supervisory tools, tracking mechanisms, and compliance checklists for business line oversight.
- Collaborate with the Control Room to ensure transparency and effective oversight of private-side activities.
- Contribute to the continuous improvement of compliance programs supporting investment banking and capital markets operations.
- Bachelor’s degree in Finance, Law, Business, or a related field.
- 7+ years of experience in compliance, legal, or regulatory roles within a broker-dealer or financial institution.
- Strong understanding of financial markets, securities regulations, and the broader regulatory environment (SEC, FINRA, MSRB, etc.).
- Deep knowledge of fixed income products, including corporates, municipals, agencies, treasuries, securitized products, and private placements.
- Experience supporting investment banking and capital markets business lines in a first-line advisory capacity.
- Strong ability to interpret regulations, design controls, and draft or enhance compliance policies and procedures.
- Excellent analytical, critical thinking, and problem-solving skills with strong attention to detail.
- Strong written and verbal communication skills, with the ability to influence stakeholders at all levels.
- Ability to work independently while managing multiple priorities in a fast-paced, high-pressure environment.
- FINRA licenses required or in progress (Series 7 or 79 and Series 24, or ability to obtain within 120 days).
- Proficiency with Microsoft Office tools and familiarity with compliance and financial industry systems is a plus.
- Competitive base salary range of $130,000 – $170,000 USD.
- Performance-based bonus eligibility.
- Comprehensive health coverage including medical, dental, and vision insurance.
- Health Savings Account (HSA) and Flexible Spending Accounts (FSA).
- Retirement and financial security programs, including ESOP participation.
- Paid vacation, personal days, and company holidays.
- Life insurance, disability coverage, and income protection benefits.
- Wellness support including fitness discounts, commuter benefits, and mental health resources.
- Employee recognition programs and professional development opportunities.
Requirements:
Benefits:
How Jobgether works:
We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.
We appreciate your interest and wish you the best!
Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.
#LI-CL1
Benefits
Equity Compensation
Retirement and financial security programs, including ESOP participation.
Health Insurance
Comprehensive health coverage including medical, dental, and vision insurance.
Recognition and professional development programs
Employee recognition programs and professional development opportunities.
Paid Time Off
Paid vacation, personal days, and company holidays.
Wellness Stipend
Wellness support including fitness discounts, commuter benefits, and mental health resources.
Jobgether runs the largest remote job platform, effectively linking job seekers with over 200,000 flexible and remote opportunities that match their unique skills and preferences. Our focus is on enhancing the hiring process, ensuring efficiency while prioritizing the candidate experience, particularly in the growing health and wellness sector.
- Founded
- Founded 2020
- Employees
- 11-50 employees
- Industry
- Professional Services
Compliance Officer