Piper Sandler

Financial Planning and Analysis

• Connect capital with opportunity to build a better future
• Provide sophisticated and highly differentiated financial advisory and capital raising services to insurance services firms
• Assist clients in developing and accessing alternatives to meet their strategic objectives
• Enable growth and success for clients through deep sector expertise, candid advice and a differentiated, highly productive culture
• Partner with corporate clients and financial sponsors to provide advisory and financing services related to mergers and acquisitions, equity and debt capital markets, private placements, restructuring and corporate & venture services.

Investment Banking Vice President – Financial Services, Insurance

• Prepare valuations
• Write memorandums for company sale assignments and private placements
• Prepare M&A analyses
• Participate in due diligence and drafting sessions for public offerings
• Structure and execute transactions

Investment Banking Associate – Consumer

Compliance

• Provide real-time compliance guidance to Equity Sales & Trading desks regarding regulatory requirements and firm policies
• Stay abreast of the local and global regulatory environment and work closely with other Legal and Compliance leads to ensure the firm’s adherence to pertinent securities laws and regulations
• Monitor and advise on rules related to Regulation SHO, Regulation NMS, Rule 15c3-5 (Market Access Rule), and FINRA Rule 2111 (Suitability)
• Partner with Equity Supervision to maintain robust surveillance programs to detect potential market abuse, including insider trading, wash sales, marking the close, and other manipulative trading practices
• Oversee the review of electronic communications (e-comms) and trade exception reports to ensure adherence to firm and regulatory standards
• Perform supervisory control testing of order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, OATS, Rule 606, etc.)
• Coordinate and update policies, procedures, processes, and relevant reviews to align with business needs and applicable rules and regulations
• Draft, update, and maintain the firm’s Written Supervisory Procedures (WSPs) and Compliance Manuals relevant to Equity Sales & Trading
• Develop and deliver targeted compliance training programs to front-office personnel regarding regulatory updates, conflicts of interest, and ethical trading practices
• Act as a primary point of contact for regulatory inquiries, examinations, and investigations (SEC, FINRA, etc.)

Investment Banking Vice President – Financial Services, Insurance

Investment Banking Associate – Consumer

Compliance Director – Equity Sales, Trading