Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, and Institutional B/D
M&T Bank · New York City · $109,300–$182,100 (stated in the posting)
Hybrid role requiring 4 days in the office, location flexible based on M&T Bank footprint.
Overview:
The Vice President, Compliance Consultant serves as a senior compliance advisor and subject matter expert responsible for providing independent compliance oversight, advisory support, and credible challenge to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets (DCM), and Equity Capital Markets (ECM) activities. Operating within the Second Line of Defense, this role partners closely with business leadership, Legal, Risk, Operations, Internal Audit, and Regulatory Relations to ensure compliance with applicable laws, regulations, regulatory guidance, and internal policies.
The VP Compliance Consultant plays a critical role in identifying, assessing, monitoring, and mitigating regulatory and compliance risks associated with securities underwriting, equity and debt offerings, private placements, institutional sales and trading, syndicate activities, research independence, information barriers, and related capital markets activities.
Key Responsibilities
Compliance Advisory & Risk Oversight
- Provide day-to-day compliance advisory support to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets, and Equity Capital Markets businesses.
- Serve as a trusted advisor to business management regarding regulatory requirements, emerging risks, and industry best practices.
- Deliver independent review and credible challenge of business activities, strategic initiatives, new products, and transactions.
- Advise stakeholders regarding conduct risk, supervisory controls, conflicts of interest, and regulatory expectations.
Regulatory Compliance Program Management
- Identify, assess, and monitor compliance risks within assigned business lines.
- Perform compliance risk assessments and evaluate the effectiveness of existing controls.
- Develop and maintain compliance monitoring and testing programs designed to assess regulatory adherence and control effectiveness.
- Oversee issue management activities, including root cause analysis, corrective action development, and remediation validation.
Investment Banking & Capital Markets Compliance
- Provide compliance guidance related to:
- Debt Capital Markets (investment-grade and high-yield offerings)
- Equity Capital Markets (IPOs, secondary offerings, follow-on offerings)
- Private placements and Rule 144A offerings
- Mergers and acquisitions advisory activities
- Syndicate management activities
- Institutional sales and trading operations
- Research analyst independence requirements
- Information barrier programs and insider trading controls
- Review deal-related activities for applicable regulatory and policy compliance.
- Advise on conflicts management and restricted list administration.
Knowledge Areas
The successful candidate should possess expertise in:
- Securities Exchange Act of 1934
- FINRA Rules and Regulatory Notices
- SEC Broker-Dealer Regulations
- Investment Adviser Act considerations applicable to institutional activities
- Regulation Best Interest (Reg BI)
- Regulation M
- Rule 144A Offerings
- Securities Offering Processes
- Debt and Equity Underwriting Activities
- Information Barrier Programs
- Insider Trading Prevention
- Research Analyst Rules
- Institutional Sales & Trading
- Market Conduct Requirements
- Supervisory Control Frameworks
- Electronic Communications Surveillance
- Employee Trading and Personal Account Dealing Programs
- AML/BSA and Sanctions considerations relevant to capital markets activities
Qualifications
Required
- Bachelor's degree in Finance, Accounting, Business, Economics, Law, or related field.
- 10+ years of compliance, legal, regulatory, risk management, audit, or related financial services experience.
- Significant experience supporting Institutional Broker-Dealer, Investment Banking, Debt Capital Markets, or Equity Capital Markets businesses.
- Demonstrated knowledge of SEC, FINRA, and securities industry regulatory requirements.
- Experience managing regulatory examinations and interacting with regulators.
- Strong analytical, risk assessment, and problem-solving capabilities.
- Excellent written, verbal, and executive-level communication skills.
Preferred
- Juris Doctor (JD), MBA, or other advanced degree.
- Experience supporting publicly offered debt and equity transactions.
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $109,300.00 - $182,100.00 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.