Lead a high-performing Compliance Monitoring & Assurance team, fostering a culture of accountability, collaboration, and continuous improvement
Develop and oversee the firm's global annual monitoring and assurance plan
Design and enhance compliance testing methodologies to address emerging regulatory and operational risks
Conduct independent monitoring and testing reviews across front office and corporate functions
Identify control gaps, escalate findings and drive timely risk remediation in partnership with business and control stakeholders
Present monitoring results, trend analyses, and remediation updates to the Compliance Risk Committee
Work with relevant stakeholders to update compliance policies and procedures in response to monitoring results
Prepare the firm for regulatory exams by ensuring monitoring and testing frameworks align with regulatory expectations
Requirements
Bachelor degree required
10 years of compliance, risk, or internal audit experience with at least 5 years in broker-dealer monitoring/assurance or testing functions
Deep understanding of U.S. broker-dealer regulatory framework (SEC and FINRA)
Prior leadership experience managing a monitoring team
Strong analytical skills and ability to translate regulatory obligations into actionable monitoring steps
Must be able to communicate clearly with others, both orally and in writing and be able to influence and, if necessary, challenge others when required
Ability to work independently and collaboratively across global Legal & Compliance and Corporate teams
Demonstrates a collaborative mindset and the ability to effectively partner with internal and external stakeholders
Strong risk and control awareness, with ability to identify and escalate issues promptly
Strong analytical, prioritization and organization skills
Proficiency in Microsoft Office, including Excel, PowerPoint, and Word
Expected annualized base salary of $175,000-$200,000.
Base salary is one component of PJT Partners' compensation structure. In addition to base salary, PJT Partners' compensation structure may include additional rewards, incentives and benefits, including but not limited to, a discretionary bonus component.
Benefits
Equity / stock optionsPerformance bonus
Additional Information
PJT Partners is a global advisory-focused investment bank. Our team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We offer a unique portfolio of advisory services designed to help our clients achieve their strategic objectives. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.
From the beginning, PJT Partners has firmly believed that having the best people is key to building an enduring franchise. Our perspective was, and remains, that a great team brings in both top tier clients and appeals to a wide-range of diverse, talented colleagues. Fostering an inclusive culture, which welcomes differing perspectives and beliefs, enables us to provide the best advice and insights to our clients.
To learn more about PJT Partners, please visit our website at www.pjtpartners.com .
Pjtpartners · NY