Senior Compliance Consultant (Capital Markets)

Location: New York, New York, United States of America; hybrid role requiring 4 days in the office

Salary: $109,300–$182,100 annual USD

Company

M&T Bank provides banking and financial services, including commercial and investment banking activities.

What you will do

• Provide independent compliance oversight, advisory support, and credible challenge to institutional broker-dealer, investment banking, DCM, and ECM activities.
• Advise business leaders on regulatory requirements, emerging risks, conduct risk, conflicts of interest, and supervisory controls.
• Perform compliance risk assessments and evaluate the effectiveness of controls, monitoring, and testing programs.
• Oversee issue management, including root cause analysis, corrective actions, and remediation validation.
• Review underwriting, private placement, M&A, syndicate, institutional sales and trading, and deal-related activities for regulatory and policy compliance.
• Partner with Legal, Risk, Operations, Internal Audit, Regulatory Relations, and business leadership.

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.
• Knowledge of SEC, FINRA, securities industry regulations, the Securities Exchange Act, Reg BI, Regulation M, Rule 144A, information barriers, insider trading controls, and market conduct 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 supporting publicly offered debt and equity transactions.

Culture & Benefits

• Hybrid work arrangement with four required office days per week.
• Work within the Second Line of Defense alongside business, legal, risk, operations, audit, and regulatory relations functions.
• Compensation is market-informed and based on the candidate’s knowledge, skills, and experience.