ROLE: President / Chief Compliance Officer

LOCATION: USA

Company Overview

My client is an investment banking subsidiary specializing in middle market transactions. They offer a range of advisory services, including sell-side and buy-side advisory, ESOP advisory, capital raising, special situations, and board advisory services. The company focuses on developing and executing strategies to facilitate mergers and acquisitions, corporate finance transactions, and other financial advisory services for clients in the middle market. They prioritize compliance with regulatory requirements and aim to deliver sustainable growth while providing leadership and guidance within their functional areas.

Role Overview

They are seeking a President & Chief Compliance Officer to serve dual roles in leading an investment banking subsidiary and managing its operational and compliance functions. The individual in this role will focus on leading the middle market investment bank, specializing in sell-side advisory, acquisition advisory, ESOP advisory, capital raising, special situations, and board advisory services. They will oversee the development, implementation, and management of processes, workflows, procedures, and work product in accordance with regulatory requirements. This position will play a critical role in shaping and guiding the future growth and development of the investment bank within the organization.

Required Skills And Qualifications

Fifteen (15) or more years of experience at a middle-market investment bank
Investment banking and middle market sell-side and buy-side advisory experience
Must have FINRA Series 79, 24, and 63 licenses
Experience in leveraged recapitalizations, corporate divestitures, go-private transactions, management buy-outs, and exclusive sales
Experience with private placements and fairness opinions
Proven experience growing an investment banking franchise
Experience developing a highly experienced team for transaction execution
Experience with ESOP advisory services (preferred)

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President / Chief Compliance Officer