Senior Compliance Analyst

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 Senior Compliance Analyst in Minneapolis, MN.

This role is responsible for assisting in the direction and execution of Piper Sandler’s compliance efforts surrounding our Fixed Income and Public Finance lines of business.

This position will report to the Compliance Director for Fixed Income and Public Finance 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 :

• Assist with the direction and execution of the Fixed Income and Public Finance compliance program, including compliance oversight for municipal securities investment banking and underwriting, municipal advisory, and fixed income trading and sales activities
• Perform Fixed Income and Public Finance recurring and ad hoc compliance reviews to identify possible violations of industry rules and regulations and internal policies and procedures.
• Assist in the planning, coordination and execution of the Firms’ branch office inspection program. Schedule and conduct branch office compliance inspections 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.
• Assist in responding to any regulatory inquiries, examinations or investigations relating to Fixed Income or Public Finance
• Participate in assessing the impact and requirements of new or amended security industry rules and regulations and assist in the implementation of policy or procedure changes that may be required
• Assist in reviewing and updating written supervisory policies and procedures and participate in the development of compliance training materials
• Participate in the review and approval process for advertising and sales literature materials
• Other duties as needed

Basic Qualifications :

• Bachelors’ degree required - Business, Finance or related field preferred
• 2-5 years of relevant experience
• Strong computer skills. Proficient with Microsoft Office Suite required.
• Ability and willingness to travel up to 10% per year
• FINRA Licenses : SIE and Series 7 (or ability to obtain within 12 months)

Preferred Skills / Experience :

• Deep experience with Excel and Tableau is a plus.
• Strong written and oral communication and interpersonal skills.
• 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
• FINRA Licenses : Municipal Securities Representative Exam (Series 52), Uniform Combined Securities State Law Exam (Series 66 or 63 or 65), General Securities Principal (Series 24) and Municipal Securities Principal Exam (Series 53) or willingness to pursue

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.