Compliance Advisory Director - IB/ECM

Our client is seeking a Director of Advisory Compliance to lead compliance for its Investment Banking business — Corporate Finance, Advisory, Capital Markets, and Underwriting. This person is the principal compliance advisor to senior bankers on M&A, capital markets, restructuring, and underwriting matters, and owns the firm's IB compliance framework, including conflicts management and information barriers. This role reports into the firm's Chief Compliance Officer. Responsibilities Advise the Investment Banking Division on M&A, offerings (IPOs, follow-ons, private placements, PIPEs, debt), advisory engagements, fairness opinions, and restructurings; participate in deal committees and due diligence reviews Oversee underwriting and distribution compliance — offering structures, prospectus disclosures, roadshows, syndicate activities — and review pitch books and IB marketing materials Partner with the Control Room on information barriers: watch/restricted/insider lists, wall-crossing, MNPI controls Lead the IB conflicts management framework, including conflicts committees and related policy development Maintain IB policies, procedures, and supervisory controls; ensure compliance with SEC, FINRA, Reg M, Reg FD, research independence, and insider trading rules Lead regulatory exams, inquiries, and enforcement matters tied to IB activity Build and run a risk-based monitoring and testing program; report key metrics and emerging risks to senior management Lead and develop the IB compliance team; design and deliver related training Qualifications Experience at an investment bank, broker-dealer, or advisory firm. Strong grounding in Reg M, Reg FD, research independence, insider trading, and information barrier practices Experience leading conflicts processes and regulatory exams People leadership experience Series 24, Series 79, or equivalent preferred #J-18808-Ljbffr JCW Group