Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY)

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.

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. Regulatory Change Management Monitor and interpret regulatory developments affecting securities, broker-dealer, and investment banking activities. Assess the impact of regulatory changes and coordinate implementation efforts. Draft and update policies, procedures, guidance documents, and training materials. Partner with business leadership to ensure timely adoption of regulatory requirements. Governance and Regulatory Engagement Support regulatory examinations, audits, and supervisory reviews. Interface with regulatory agencies and examination teams as appropriate. Coordinate responses to regulatory inquiries, audit findings, and compliance-related requests. Prepare executive reporting, compliance metrics, risk assessments, and governance committee materials. Surveillance & Supervisory Programs Oversee compliance surveillance activities related to employee conduct and regulated business activities. Support electronic communications surveillance, trade surveillance, personal trading oversight, and employee conflicts reviews. Evaluate supervisory control frameworks and recommend enhancements where necessary. Assist in the development of compliance training and awareness initiatives. Stakeholder Management Establish effective partnerships with senior business leaders, Legal, Risk, Operations, Technology, and