Compliance Manager Supervisory Control Testing

Compliance Supervisory Control Testing Manager

At Piper Sandler, we connect capital with opportunity to build a better future.

We believe that diverse teams with unique backgrounds, skills and experiences yield more innovative solutions. This is reflected in our commitment to engage, hire, and retain bright, committed people to work in partnership within an inclusive environment that allows each person to achieve personal success and add value to our teams and communities.

We are seeking a Compliance Supervisory Control Testing Manager to join our team in Minneapolis, MN or New York, NY.

The Compliance Manager will oversee the execution of supervisory control testing across various departments to ensure adherence to regulatory requirements and internal policies. This role is critical in identifying compliance risks and implementing effective solutions to mitigate them. The Compliance Department is an integral part of the Firm's overall risk management schema, specifically charged with carrying out regulatory obligations to establish, maintain, review, test and modify the Firm's system of supervision and control. Candidate must be highly skilled and detail-oriented and will be reporting to the Compliance Director.

Responsibilities :

• Gather, validate and analyze data, documents and information relative to a determined testing plan, current policies and Written Supervisory procedures (WSPs).
• Collaborate with business process owners and key players to document processes and report to all necessary parties.
• Test a sample of supervisory control supporting documentation for adherence with rules, policies, and WSPs including consistent application of disciplinary policy where applicable.
• Perform completeness & accuracy checks of system reports utilized in the WSPs for adherence to the corresponding regulatory requirements
• Create regular reporting of key metrics and escalation of issues identified during regular monitoring and testing activities to Compliance Directors, CCO, and business line management.
• Seek improvement opportunities and efficiencies in supporting technologies, compliance oversight, reporting, as well as control structure within business systems and processes.
• Assist in the analysis of new rule filings, regulatory updates and enforcement actions to determine relevance and needed testing; including SEC Priority Letters, FINRA's Examination, and Risk Monitoring Program.
• Assist with the creation and delivery of compliance training, attestations, etc. aimed at enhancing understanding and adherence to the firm's policies.
• Collaborate and consult with peers, managers, directors or senior management to find opportunities for process improvement and risk control development.
• Assist in other duties as assigned by management.

Qualifications :

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.

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.

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.

The anticipated starting salary range for individuals expressing interest in this position is $100,000 - $150,000 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.