Senior Compliance Officer – Capital Markets

Responsibilities

• Provisioning of advice on private placement, underwriting, and liability management transactions, including advice on transaction documentation and regulatory requirements.
• Develop, maintain, and enhance compliance policies and written supervisory procedures.
• Establish and maintain 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, and applicability of suitability obligations, including the requirements of Regulation Best Interest.
• Develop and deliver training programs for capital markets professionals.
• Monitor and advise the firm in relation to regulatory developments.
• Support regulatory exams, audits or testing inquiries or requests.

• Juris Doctor (JD) degree required.
• Five 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, detail-oriented, with the ability to take initiative and manage competing priorities.
• Excellent verbal and written communication and presentation skills, with 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 escalation 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 and may include additional rewards, incentives and benefits, including a discretionary bonus component.

PJT is an equal-opportunity employer. We do not discriminate on the basis of race, color, religious creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, medical condition, genetic information or predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other category protected by law.

PJT Partners also complies with all applicable laws with regard to providing reasonable accommodation of disabilities to applicants. California applicants with arrest and/or conviction records will be considered in a manner consistent with applicable law. Applicant privacy notice: view our applicant privacy notice and California applicant privacy notice for further information.