Head of Investment Banking Supervision

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At Piper Sandler, we connect capital with opportunity to build a better future. We believe that diverse teams with unique backgrounds yield more innovative solutions and are committed to hiring, retaining, and empowering bright, committed people in an inclusive environment.

We are currently seeking a Head of Investment Banking Supervisor in our Minneapolis, MN office.

• Perform review of employee electronic communications and escalate appropriately.
• Partner with Legal on deal file reviews to ensure compliance with regulatory record‑keeping requirements and internal policies.
• Identify and resolve issues or discrepancies found during reviews.
• Develop and implement training programs for supervisory staff.
• Monitor training effectiveness and adjust as necessary.
• Coordinate AML checks on behalf of the deal team.
• Partner with Compliance when issues arise.
• Identify potential risks and develop mitigation strategies.
• Collaborate with internal audit and risk management for comprehensive oversight.
• Liaise with regulatory agencies and external auditors during compliance examinations.
• Foster relationships with internal stakeholders to promote a culture of compliance.

• 7-10 years of experience in compliance, supervision, or related field within the financial services industry.
• Series 7 and 24 certification, or ability to obtain within 6 months.
• Strong knowledge of regulatory requirements and compliance frameworks.
• Excellent analytical, communication, and interpersonal skills.
• Proven ability to lead and train teams effectively.
• Experience with compliance software and tools.
• Strong organizational skills and attention to detail.

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. Our human capital, technology, marketing and other corporate support teams work with business partners to maximize each employee. We understand the dynamic nature of the industry and work alongside our company strategies. We value a strong culture dedicated to the emotional and physical well‑being of our employees.

Learn more about our commitment to our employees’ health, well‑being, benefits program and support for families.

All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, sexual orientation, gender identity, national origin, disability, age, marital status, protected veteran status, or public assistance status.

The anticipated starting salary range for individuals expressing interest in this position is $150,000 – $225,000 per year, with placement based on level of experience. The position is eligible for annual incentive compensation and part of total compensation, which will be competitive with the market.

Seniority level:
Director

Employment type:

Full‑time
Job function:
Finance and Sales