Back to jobs

Compliance Officer, Investment Banking & Capital Markets

New York, NY

About Clear Street:

Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets. 

We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Our platform is fully integrated with central clearing houses and exchanges to support billions in trading volume per day. We’ve agonized about our data model abstractions, created horizontal scalability, and crafted thoughtful APIs. All so we can provide a best-in-class experience for our clients. 

By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets.

At Clear Street, we are committed to excellence in investment banking and providing comprehensive advisory and capital raising services to our clients.  Our dynamic investment banking team connects capital with opportunity, creating value for our clients.  We are currently seeking a dedicated and experienced Capital Markets Compliance Officer to join our Compliance team who will be responsible for providing compliance advice and building a compliance program to support our growing investment banking offering.

 

The Role:

As a Capital Markets Compliance Officer, you will play a critical role in supporting the regulatory compliance infrastructure of our Investment Banking and Equity Research divisions.  You will be responsible for providing compliance guidance to the team and for monitoring the activities within investment banking and research for compliance with applicable internal policies and procedures and applicable federal securities laws and implementing rules and regulations.  Your insights and analysis will help mitigate risks and uphold the integrity of our business practices.

 

Responsibilities:  

  • Operationalize the policies, procedures and written supervisory procedures for the investment banking and research divisions and related products including corporate access.
  • Conduct compliance reviews, surveillance and monitoring of investment banking transactions to monitor for compliance for SEC, FINRA and other applicable rules and regulations.
  • Lead the development and implementation of written policies and procedures for investment banking, research and corporate access.
  • Oversee the restricted list, watch list and other control room processes.
  • Provide real-time advice and guidance to investment bankers on regulatory and compliance issues, including but not limited to conflicts of interest, regulatory filing requirements, insider trading and market manipulation.
  • Provide advice to the sales and trading desks on questions that arise in connection with investment banking transactions and the publication of research.
  • Conduct training on compliance matters to foster a culture of compliance across the Clear Street organization.
  • Prepare and submit regular compliance reports to senior management.
  • Coordinate with Legal and the CCO on compliance issues that impact investment banking, research or corporate access.
  • Identify, escalate and assist in the remediation of any compliance issues that arise.
  • Prepare and submit responses to regulatory inquiries involving investment banking, corporate access and/or research.
  • Stay abreast of new regulations or changes in law and advise on implications for the business.

 

Requirements:

  • At least five (5) years of professional experience implementing and maintaining compliance programs for investment banking and research.
  • Bachelor degree in Finance, Economics, pre-law or other similar discipline.
  • Experience facing off with regulators and designing compliance programs for SEC, FINRA and other relevant rules and regulations as it relates to research and investment banking
  • Excellent analytical and problem-solving skills, with the ability to interpret complex legal documents.
  • Exceptional communication and interpersonal skills, including the ability to explain complex compliance issues clearly and persuasively.
  • Ability to be commercial when working with senior stakeholders while balancing business opportunities and compliance needs.
  • Proficiency in using compliance monitoring tools and conducting research to address questions.

 

We Offer:
The Base Salary Range is $175,000 - $225,000. These ranges are representative of the starting base salaries for this role at Clear Street. Which range a candidate fits into and where a candidate falls in the range will be based on job related factors such as relevant experience, skills, and location. These ranges represent Base Salary only, which is just one element of Clear Street's total compensation. The ranges stated do not include other factors of total compensation such as bonuses or equity.

At Clear Street, we offer competitive compensation packages, company equity, 401k matching, gender neutral parental leave, and full medical, dental and vision insurance. Our belief has always been that we are better as a business when we are all together in person. We are requiring employees to be in the office 4 days per week. In-office benefits include lunch stipends, fully stocked kitchens, happy hours, a great location, and amazing views.

Our top priority is our people. We’re continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse — in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer.  #LI-Hybrid

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Cover Letter

Accepted file types: pdf, doc, docx, txt, rtf

Select...
Select...
Select...
Select...
Select...
Select...
Select...
Select...

U.S. Standard Demographic Questions

We invite all applicants to share their demographic background. If you choose to complete this survey, your responses may be used to identify areas of improvement in our hiring process. Your responses will not affect your candidacy in any way.

Select...
Select...
Select...
Select...
Select...
Select...

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Clear Street’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Select...
Select...
Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Select...

Voluntary Self-Identification of Disability

Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

  • Alcohol or other substance use disorder (not currently using drugs illegally)
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
  • Blind or low vision
  • Cancer (past or present)
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or serious difficulty hearing
  • Diabetes
  • Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
  • Epilepsy or other seizure disorder
  • Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
  • Intellectual or developmental disability
  • Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
  • Missing limbs or partially missing limbs
  • Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
  • Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
  • Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
  • Partial or complete paralysis (any cause)
  • Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
  • Short stature (dwarfism)
  • Traumatic brain injury
Select...

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.