Compliance Representative – Registrations & Corporate Support

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

We believe diverse teams with unique backgrounds, skills and experiences yield more innovative solutions. Our mission is to recruit, develop, retain and engage a diverse, high-performing team. Our business enables bright, committed people working in partnership within an environment that allows each person to achieve at a high level. We commit to encouraging and valuing inclusivity because every partner brings unique perspectives that help us better serve our clients.

We are currently seeking a Compliance Representative responsible for assisting in the direction and execution of Piper Sandler’s compliance efforts surrounding our Registrations function and Corporate Compliance activities. This position will report to the Compliance Director and is primarily responsible for performing various compliance and oversight functions designed to ensure compliance with rules, regulations, and internal policies. 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.

Responsibilities:

• Manage the filing and tracking of personnel and location regulatory filings (i.e. FINRA U4, U5, qualification exams, etc.) and related files.
• Assist with the onboarding process including tracking pre-hires, welcome emails and tracking completion of fingerprint requirements.
• Follow up and make necessary updates on the FINRA CRD system for employee home address changes, work address changes and name changes.
• Handle routine registrations requests such as ordering study materials, processing department invoices, and other misc. administrative tasks as needed.
• Assist in responding to any regulatory inquiries, examinations or investigations relating to Registration and other Corporate Compliance activities.
• Assist, as needed, in the Firms’ branch office inspection program to assess compliance with applicable securities industry regulations and internal policies and procedures.
• Prepare written reports to management documenting compliance reviews and branch office inspection results, including all areas of potential non-compliance along with potential solutions for corrective actions.
• Collaborate with other departments to address compliance-related issues and ensure effective controls are in place.
• Assist the Compliance Director in testing and maintaining the firm’s policies and procedures, ensuring adherence to SEC, FINRA, MSRB, CFTC, and other relevant regulations.
• Support the development and delivery of compliance training for employees.

Qualifications:

• Level based on individual’s direct experience and qualifications with Registrations and Corporate Compliance, relevant regulations, and industry standards:
• Rep.2-4 / Analyst Level: 0-3 years of experience 
• Rep.4-6 / Sr. Analyst level: 3-6 years of experience
• Manager level: 7-10 years of experience
• Bachelors’ degree required - Business, Finance, Economics, or related field preferred. Advanced degree or certification (e.g., JD, MBA, Series 7, 24, 52, 53, CAMS, etc.) is a plus.
• Strong computer skills. Proficient with Microsoft Office Suite required.
• Strong communication and interpersonal skills with the ability to interact and collaborate effectively across departments in a professional manner in a variety of situations.
• Attention to detail and ability to handle multiple priorities simultaneously while maintaining a positive and productive attitude.
• Ability to handle confidential and sensitive information and the ability to handle matters with discretion when required.
• Ability and willingness to travel up to 10% per year

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.

Piper Sandler values a strong culture dedicated to the emotion