<p>Job Description:</p> <p>At Piper Sandler, we connect capital with opportunity to build a better future.</p> <p>Piper Sandler is a leading institutional middle market investment bank firm serving clients in the U.S. and internationally. The firm focuses on financial advisory and capital markets that wins through deep sector expertise, candid advice, and a differentiated, highly productive culture - enabling growth and success for our clients as well as rewarding careers for our employees.</p> <p>We are currently seeking a Trading Supervisory Risk Control Manager to join our Equity Sales and Trading team in New York, NY and Greenwich, CT.</p> <p>Trading Supervisory Risk Control Manager is responsible for executing compliance risk control analysis, data management and solutions for supervision within the equities sales and trading business line. This position will report to the Head of Sales and Trading Supervision and Administration. This position is primarily responsible for performing various supervisory and regulatory oversight functions, compliance control reviews, as well as related tech-enabled solutions and data analysis. The role will require assisting in the managing of process logistics and coordination between the business and the compliance department.</p> <p>Responsibilities</p> <ul> <li> <p>Perform supervisory control testing over Equity Sales and Trading and other relevant written supervisory procedures to ensure adherence to SEC, FINRA, and other relevant regulations.</p> </li><li> <p>Collaborate with other departments to address compliance-related issues identified during testing, draft reports, and ensure effective controls are in place.</p> </li><li> <p>Assist with updating and review of trading written supervisory procedures, in collaboration with compliance, as rules change, business processes change, or supervisory control testing results indicate updates are necessary.</p> </li><li> <p>Review new business initiatives, and changes to existing activities to identify and formulate business-line risk and supervisory process solutions.</p> </li><li> <p>Assist in responding to any regulatory inquiries, examinations or investigations.</p> </li><li> <p>Assist with compliance training, attestations aimed at enhancing understanding and adherence to the firm's policies.</p> </li><li> <p>Seek improvement opportunities and efficiencies in supporting technologies, compliance oversight, reporting, as well as control structure within business systems and processes.</p> </li><li> <p>Act as a liaison and point of contact between the Compliance and Equity Supervision, Operations, and other business partners.</p> </li><li> <p>Assist in the creation and management of key metrics including escalation of issues identified during regular monitoring and testing activities to Compliance Director and business line management.</p> </li><li> <p>Stay abreast of the local and global regulatory environment and work closely with Piper Legal and Compliance Depts.</p> </li><li> <p>Participate in internal and external industry committees for benchmarking of regulatory expectations and relevant best practices.</p> </li><li> <p>Assist the Compliance Technology team in performing data integrity testing over Surveillance reports utilized by Compliance team members in their Regulatory capacity.</p> </li></ul> <p>Qualifications</p> <ul> <li> <p>7-10 years of relevant experience; prior experience with an institutional broker-dealer desired.</p> </li><li> <p>Bachelors' degree required - Business, Finance, Economics, or related field.</p> </li><li> <p>FINRA Series 7, 24, and 4 required or willingness to obtain within 6 months.</p> </li><li> <p>Experience with Equity Sales, Trading, and Capital Markets relevant regulations including order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, Rule 606, etc.) and capital markets requirements (i.e. Reg M, FINRA rules 5130/5131, etc.).</p> </li><li> <p>Proficient with trade surveillance systems, Microsoft Office Suite, and data analytics tools</p> </li><li> <p>Applied practical experience working with large equities trading data sets, data management systems and equities trading infrastructure</p> </li><li> <p>Strong communication and interpersonal skills with the ability to interact and collaborate effectively across departments in a professional manner in a variety of situations.</p> </li><li> <p>Attention to detail and ability to handle multiple priorities simultaneously while maintaining a positive and productive attitude.</p> </li><li> <p>Ability to handle confidential and sensitive information and the ability to handle matters with discretion when required.</p> </li></ul> <p>As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture. Our human capital, technology, marketing and other corporate support teams work with our business partners to maximize each employee. We understand the dynamic nature of the industry and work alongside our company strategies. Learn more about our firm here.</p> <p>Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees. Learn more about our commitment to our employee's health, well-being, our benefits program and how we are here for our employees and their families today, tomorrow and beyond here.</p> <p>All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, sexual orientation, gender identity, national origin, disability, age, marital status, status as a protected veteran or status with regard to public assistance.</p> <p>The anticipated starting salary range for individuals expressing interest in this position is $120,000 - $180,000 per year. Placement within this range is dependent upon level of experience, location and other factors. This position is eligible for annual incentive compensation which will be a part of the total compensation. Total compensation for this position will be competitive with the market.</p> <ul> <li>LI-AH1 </li></ul>