PJT Partners · 2 days ago
Senior Vice President - Compliance (Monitoring & Assurance)
New York, United States
Full-time
Onsite
Senior Level, Lead/Staff
$175K/yr - $200K/yr
10+ years expPJT Partners is a global advisory-focused investment bank that provides a range of strategic advisory services. They are seeking a highly experienced compliance professional to serve as Head of Monitoring & Assurance, responsible for ensuring regulatory obligations and risk controls are met with the highest standards.
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Responsibilities
Lead a high-performing Compliance Monitoring & Assurance team, fostering a culture of accountability, collaboration, and continuous improvement
Develop and oversee the firm’s global annual monitoring and assurance plan
Design and enhance compliance testing methodologies to address emerging regulatory and operational risks
Conduct independent monitoring and testing reviews across front office and corporate functions
Identify control gaps, escalate findings and drive timely risk remediation in partnership with business and control stakeholders
Present monitoring results, trend analyses, and remediation updates to the Compliance Risk Committee
Work with relevant stakeholders to update compliance policies and procedures in response to monitoring results
Prepare the firm for regulatory exams by ensuring monitoring and testing frameworks align with regulatory expectations
Qualification
Required
Bachelor degree required
10 years of compliance, risk, or internal audit experience with at least 5 years in broker-dealer monitoring/assurance or testing functions
Deep understanding of U.S. broker-dealer regulatory framework (SEC and FINRA)
Prior leadership experience managing a monitoring team
Strong analytical skills and ability to translate regulatory obligations into actionable monitoring steps
Must be able to communicate clearly with others, both orally and in writing and be able to influence and, if necessary, challenge others when required
Ability to work independently and collaboratively across global Legal & Compliance and Corporate teams
Demonstrates a collaborative mindset and the ability to effectively partner with internal and external stakeholders
Strong risk and control awareness, with ability to identify and escalate issues promptly
Strong analytical, prioritization and organization skills
Proficiency in Microsoft Office, including Excel, PowerPoint, and Word
Benefits
Discretionary bonus component
Company
PJT Partners
PJT Partners is an investment banking firm that provides asset management, debt execution, strategic advisory, and fundraising services.
501-1000 employees
H1B Sponsorship
PJT Partners has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (71)
2024 (79)
2023 (77)
2022 (57)
2021 (49)
2020 (28)
Funding
Current Stage
Public CompanyTotal Funding
unknownKey Investors
Corsair Capital
2018-08-28Post Ipo Equity
2015-10-02IPO
Leadership Team
Chris Holt
Partner
Don Cornwell
Member Board of Directors
Recent News
2025-11-11
2025-11-09
DBusiness Magazine
2025-11-05
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