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

Location: Hybrid — Metro NYC or Buffalo, NY, United States

Salary: $109,300–$182,100 annual USD

Company

M&T Bank is a large banking organization with institutional broker-dealer, investment banking, capital markets, and asset management activities.

What you will do

• Provide independent compliance advisory support and credible challenge to institutional broker-dealer, investment banking, DCM, ECM, and asset management activities.
• Identify, assess, monitor, and mitigate regulatory and compliance risks across assigned business lines.
• Review securities underwriting, equity and debt offerings, private placements, Rule 144A transactions, M&A advisory activities, syndicate operations, and institutional sales and trading.
• Develop compliance monitoring, testing, surveillance, supervisory control, and issue remediation programs.
• Monitor regulatory developments, update policies and training materials, and coordinate implementation of regulatory changes.
• Support regulatory examinations, audits, inquiries, executive reporting, governance committees, and cross-functional risk management initiatives.

Requirements

• Bachelor’s degree in Finance, Accounting, Business, Economics, Law, or a related field.
• 10+ years of compliance, legal, regulatory, risk management, audit, or related financial services experience.
• Significant experience supporting institutional broker-dealer, investment banking, debt capital markets, or equity capital markets businesses.
• Demonstrated knowledge of SEC, FINRA, broker-dealer, securities industry, Reg BI, Regulation M, Rule 144A, AML/BSA, and sanctions requirements.
• Experience managing regulatory examinations and interacting with regulators.
• Strong analytical, risk assessment, problem-solving, written, verbal, and executive-level communication skills.

Nice to have

• Juris Doctor, MBA, or another advanced degree.
• Experience in a Second Line Compliance Risk Management function.
• Experience supporting publicly offered debt and equity transactions.
• Prior leadership or team management experience.

Culture & Benefits

• Second Line of Defense compliance role with close partnership across business leadership, Legal, Risk, Operations, Technology, Internal Audit, and Regulatory Relations.
• Focus on executive-level governance, regulatory readiness, sustainable remediation, and risk awareness.
• Hybrid work arrangement based in Metro NYC or Buffalo, NY.
• Compensation is market-informed and based on the successful candidate’s knowledge, skills, and experience.