What are the responsibilities and job description for the Compliance Manager position at Piper Sandler?
Compliance Manager – Investment Advisor Activities
Piper Sandler is a leading investment bank firm serving clients in the U.S. and internationally. With deep sector expertise, candid advice and a differentiated, highly productive culture we enable growth and success for our clients and rewarding careers for our employees.
Through its affiliated group of financial services firms, Piper Sandler offers a full spectrum of institutional capital markets and financial advisory services.
We are currently seeking a Part-Time Compliance Manager (est. 20-30 hours per week) supporting our SEC-Registered Investment Adviser affiliates focused on institutional advisory services and private equity offerings. This person will assist the RIA Chief Compliance Officer in the ongoing development, implementation, communication, and execution of the firm’s Investment Advisory Compliance Program.
Specific Accountabilities:
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Assist in staying abreast of changing or new investment adviser regulations
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Assess and monitor the Investment Advisory Compliance Program for adherence to relevant regulations and/or opportunities for improvement.
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Manage the Firm’s SEC Form ADV and other requisite regulatory filings.
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Monitor for the related employee conflicts (i.e. personal trading activities)
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Working closely with other Legal and Compliance employees to assist with managing regulatory inquiries and exams, as needed.
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Coordinate monthly RIA operating committee meetings with business line leaders.
Basic Qualifications:
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Bachelors’ degree
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5 years of experience in investment adviser business
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Preferred: Strong knowledge of Investment Advisers Act of 1940.
Other Skills:
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Possess the ability to maintain professional composure in a dynamic work environment that often requires the management of multiple and competing priorities.
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Demonstrate willingness to be a contributing and engaged member of a team by sharing knowledge, working towards common goals, and maintaining a positive attitude.
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Capable of establishing effective work relationships and maintaining credibility with colleagues.
COVID-19 Vaccine Policy
Effective October 1, 2021, Piper Sandler’s policy will require all employees and contractors working in a Piper Sandler office to be fully vaccinated against COVID-19, with limited exceptions for medical conditions and sincerely held religious beliefs. Should you have questions on Piper Sandler’s policy or wish to discuss an exception, please let your recruiter know. This policy is subject to change as the transmission rate of COVID-19 and other facts and circumstances evolve.
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