Primary responsibilities of the successful candidate include:
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
Requirements
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
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.
PJT is an equal opportunity employer. We do not discriminate on the basis of, and will consider all qualified applicants for employment without regard to race, color, religious creed, religion, sex, pregnancy, natio
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