Senior Compliance Conflicts & Control Room 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 looking for a Senior Compliance Conflicts & ControlRoom Analyst in Minneapolis, MN.

This individual will be responsible for ensuring compliance with regulatory requirements and company policies related to the management of conflicts of interest. The individual will work closely with a team of legal and compliance professionals and various departments within the organization, including Investment Banking, Capital Markets and Research.

Specific Accountabilities:

Conflicts Monitoring Responsibilities include:

• Support new Conflict Management System implementation to maintain and update the organization's conflicts of interest database
• Review Outside Business Activities & Private Securities Transactions for potential conflicts in line with regulatory requirements
• Monitoring and review of Gift, Gratuities and Entertainment for compliance with regulatory rules and firm policy
• Manage Employee Conflicts and Conducts tracking and monthly meetings for areas with additional risk monitoring necessary
• Respond to business conflict inquiries and perform diligence for potential conflict disclosures and/or vetting necessary
• Provide training and guidance to employees on conflicts of interest policies and procedures
• Collaborate with legal and compliance teams to investigate and resolve potential conflicts of interest
• Develop and implement controls to manage conflicts of interest in an efficient and effective manner

Control Room Responsibilities include:

• Chaperone communication between Investment Banking and Research subject to the Global Research Settlement
• Monitor and / or restrict research activities pursuant to certain regulatory and policy considerations
• Conduct Control Room surveillance and review for information barrier and other regulatory requirements
• Perform regular reviews of Research reports and disclosures for adherence to regulatory requirements
• Provide regulatory guidance to the business lines as inquired
• Work closely with other Legal and Compliance employees, assist with managing regulatory matters, investigations and inquiries.

Basic Qualifications:

• Bachelors' degree required - Business, Finance, or other relevant field
• 5+ years of experience in Compliance or other related experience
• FINRA Licenses: SIE and Series 7 (or ability to obtain within 12 months)
• Strong understanding of investment banking, research, and conflicts of interest management
• Strong technology skills: Excel, Word, Teams, Tableau, My Compliance Office, or other compliance monitoring / data analysis tools

Other Skills:

• Ability to maintain professional composure in a dynamic work environment that often requires the management of multiple and competing priorities
• Ability to prioritize and meet deadlines in a fast-paced environment
• Strong technical, analytical and problem-solving skills
• Highly detail oriented
• Strong written and verbal communication skills
• Capable of establishing effective work relationships and maintaining credibility with colleagues

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 our business partners to maximize each employee. We understand the dynamic nature of the industry and work alongside our company strategies. Learn more about our firm here .

Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees. Learn more about our commitment to our employee's health and well-being. Learn more about our benefits program and how we are here for our employees and their families today, tomorrow and beyond.

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, status as a protected veteran or status with regard to public assistance.

*LI-BSL1