Senior Vice President - Compliance; Monitoring & Assurance

Position: Senior Vice President - Compliance (Monitoring & Assurance)
Location: City of Rochester

PJT Partners is a global advisory-focused investment bank. Our team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We offer a unique portfolio of advisory services designed to help our clients achieve their strategic objectives.

We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.

From the beginning, PJT Partners has firmly believed that having the best people is key to building an enduring franchise. Our perspective was, and remains, that a great team brings in both top tier clients and appeals to a wide-range of diverse, talented colleagues. Fostering an inclusive culture, which welcomes differing perspectives and beliefs, enables us to provide the best advice and insights to our clients.

To learn more about PJT Partners, please visit our website at  .ResponsibilitiesPJT Partners is seeking a highly experienced compliance professional to serve as Head of Monitoring & Assurance. This individual will be responsible for the design, implementation, testing and assurance program, ensuring that regulatory obligations, internal policies, and risk controls are met with the highest standards.

Lead a high-performing Compliance Monitoring & Assurance team, fostering a culture of accountability, collaboration, and continuous improvement

Develop and oversee the firm’s global annual monitoring and assurance plan Design and enhance compliance testing methodologies to address emerging regulatory and operational risks

Conduct independent monitoring and testing reviews across front office and corporate functions

Identify control gaps, escalate findings and drive timely risk remediation in partnership with business and control stakeholders

Present monitoring results, trend analyses, and remediation updates to the Compliance Risk Committee Work with relevant stakeholders to update compliance policies and procedures in response to monitoring results

Prepare the firm for regulatory exams by ensuring monitoring and testing frameworks align with regulatory expectations

QualificationsPJT Partners looks for motivated, smart, and independent candidates. The successful candidates should have excellent communication skills, a demonstrated ability to write effectively, and a desire to work in a team environment. The ideal candidate will also have the following qualifications and skills:

Bachelor degree required
10 years of compliance, risk, or internal audit experience with at least 5 years in broker-dealer monitoring/assurance or testing functions

Deep understanding of U.S. broker-dealer regulatory framework (SEC and FINRA)
Prior leadership experience managing a monitoring team Strong analytical skills and ability to translate regulatory obligations into actionable monitoring steps

Must be able to communicate clearly with others, both orally and in writing and be able to influence and, if necessary, challenge others when required

Ability to work independently and collaboratively across global Legal & Compliance and Corporate teams

Demonstrates a collaborative mindset and the ability to effectively partner with internal and external stakeholders

Strong risk and control awareness, with ability to identify and escalate issues promptly

Strong analytical, prioritization and organization skills

Proficiency in Microsoft Office, including Excel, PowerPoint, and Word Expected annualized base salary of $175,000-$200,000.This range represents the low and high ends of the expected annualized base salary for this position. The specific base salary received by any employee will be informed by a number of factors, including but not limited to, role level and scope, location, candidate’s relevant qualifications, skills and experience.

Base salary is one component of PJT Partners’ compensation structure. In addition to base salary, PJT Partners’ compensation structure may include additional…