If you searched Superstar Sourcing for Capital Markets Compliance Director (with 3 additional requirements) on January 3, 2026 you'd find 366 great candidates

This sample report shows what our sourcing engine surfaces for this search. Preview the top 30 matches below.

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Candidate Profiles

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95%

M**** C****

Senior Vice President, Chief Compliance Officer

New York, New York, United States 19 years 11 months

Excellent match with direct Capital Markets Compliance and Director level experience located in NYC, which satisfies all required aspects except the listed technical skills. CAIS → Wedbush Securities → Evercore (Equity Capital Markets Compliance Officer) → Safra National Bank, VP/CCO roles. Excellent.

LinkedIn Email Phone

Work Experience

Evercore
Institutional Equities Sales/Equity Capital Markets Compliance Officer · 1 year
Hawthorne Investigation & Security
Analyst · 2 years
CAIS
Director, Chief Compliance Officer
CAIS
Senior Vice President, Chief Compliance Officer
+ 3 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

equity capital markets compliance banking equities sales capital director private banking capital markets
90%

A**** L****

Compliance Director at Fidelity Investments

New York, New York, United States 38 years 10 months

This candidate is an excellent fit for a senior compliance leadership role with deep regulated industry experience. Compliance Director at Fidelity Investments → Compliance Director-Head of US Institutional and Prime Brokerage Margin / Fin-Op Regulatory compliance at Deutsche Bank → Managing Director-Head of Margin & Credit Regulation at FINRA. Excellent.

LinkedIn Email Phone

Work Experience

Fidelity Investments
Compliance Director- Finance, Operations, Treasury & Risk
FINRA ( Legacy New York Stock Exchange - Member firm Regulation))
Managing Director- Head of Margin & Credit Regulation
Societe Generale
Director, Business Compliance Advisory
FINRA ( Legacy New York Stock Exchange -Member firm Regulation)
Principal Finance and Operations Examiner
+ 2 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

director compliance finance operations treasury risk reporting interpretation trading responsible dealers brokerage +4 more
90%

A**** D****

Compliance Director at Wells Fargo

New York, New York, United States 14 years 11 months

This candidate explicitly holds the title Compliance Director (Executive Director Of Compliance) with significant experience at Wells Fargo and Credit Suisse, indicating strong securities/legal compliance, making them a very strong fit despite the lack of stated technical skills. Compliance Director (Wells Fargo) → ED of Compliance → VP Manager → Legal/Compliance Associate (Credit Suisse), JD, CRCM, Series 7/63. Excellent.

LinkedIn Email Phone

Work Experience

Wells Fargo
Executive Director Of Compliance
Hover & Mackowski, PLLC
Attorney
Ezratty, Ezratty, & Levine
Law Clerk
Gary J. Robbins, Attorney at Law
Legal Intern
+ 4 more positions

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

legal compliance director compliance law legal
90%

D*** L**

Ex Programmer, Staff Manager, Systems Analyst, Project Manager, Head of Portfolio Administration, and Compliance Director

Pembroke, Massachusetts, United States 42 years 8 months

This candidate explicitly held the title Compliance Director at a major financial firm with experience in regulatory fitness of technology and books/records compliance, strongly implying the securities focus, but the technical skills are not present. Programmer → Systems Analyst → Fidelity Compliance Director (x2) → Project Manager. Strong.

LinkedIn Email Phone

Work Experience

Fidelity Investments
Compliance Director · 3 years 7 months
Fidelity Investments
Compliance Director · 10 years 9 months
BARING ASSET MANAGEMENT LIMITED
VP Head of Investment Operations · 6 years 3 months
CAP Group plc
Staff Manager · 8 years
+ 4 more positions

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance director fitness technology software retail brokerage operations digital communications finra evaluation +8 more
88%

K**** A****

Vice President, Compliance - Global Head of the Securities Trade Monitoring Group at Moody's Corporation

New York, New York, United States 26 years 6 months

This candidate has deep compliance experience focused on securities trading, strongly aligning with capital markets and division needs, though technology skills are not explicitly mentioned. VP Compliance → Barclays → Lehman Brothers. Strong.

LinkedIn Email Phone

Work Experience

Barclays
Vice President · 3 years 8 months
Lehman Brothers
Vice President · 20 years 3 months
Moody's Corporation
Vice President, Compliance - Global Head of the Securities Trade Monitoring Group · 2 years 10 months

Qualification Criteria 3 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance securities investigations administration registration finra legal education attorneys accreditation training analyses +8 more
85%

A**** S****

Director of Compliance at Sands Capital

New York, New York, United States 2 years 11 months

Holds the Director level title in compliance for asset management, is in the right location, but is light on tenure and lacks the specified technical skills. Director of Compliance at Sands Capital, 2+ years experience. Strong.

LinkedIn Email Phone

Work Experience

Sands Capital
Director of Compliance

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

operational due diligence asset management investment advisory due diligence strategic planning system implementations management securities risk planning technology analytics +2 more
85%

P**** C****

Financial Technology Leader | Change Agent | Growth & Strategic Leadership

Boston, Massachusetts, United States 20 years

Excellent fit for Capital Markets compliance leadership, specifically scaling compliance solutions, although technical skills (SQL, Relativity) are missing. Financial Technology Leader focused on building enterprise compliance/risk solutions for capital markets, Director/Partner roles at ACA Group, 20 years experience. Strong.

LinkedIn Email Phone

Work Experience

State Street
Compliance Specialist · 2 years
ACA Group
Partner, Global Head of Technology and Managed Services Sales · 2 years
Charles River Development
Global Head of Compliance Services · 6 years
State Street
Senior Portfolio Accountant, Private Equity & Private/Public Pension Funds · 3 years
+ 5 more positions

Qualification Criteria 2 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

back office capital markets strategic planning product management professional services managed services asset management private equity venture capital pension funds client development producing +8 more
85%

H**** H****

Sr. Compliance Officer at S&P Global

New York, New York, United States 18 years 1 month

This candidate has significant compliance leadership experience, including roles touching on broker-dealers and control room functions, which heavily implies Capital Markets exposure, though specific SQL/e-Discovery/Relativity skills are not explicitly stated. Sr. Compliance Officer → Director-level Conflicts Control at S&P Global → Compliance Program Manager at Betterment; advisory focus. Strong.

LinkedIn Email Phone

Work Experience

Noor Pharmaceuticals, LLC
Executive Account Manager · 1 year 2 months
JPMorgan Chase
Senior Global Compliance Analyst/ Co-Team Lead · 1 year 7 months
S&P Global
Sr. Compliance Officer - Control Room
Policygenius Inc.
Licensing and Compliance Manager · 1 year 2 months
+ 5 more positions

Qualification Criteria 3 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

regulatory compliance risk management corporate training best practices project management internal audit legal compliance asset management process improvement human resources cost savings branch management +8 more
85%

J*** B****

Independent Compliance Consultant

Mineola, New York, United States 30 years 5 months

Strong background directing compliance, including significant time in Capital Markets trading compliance, though Director level tenure varies and technical skills are missing. CPA/MBA → Auditor → Compliance Officer (ABN) → Sr Compliance Officer (BAML) - Director GBAM Compliance → CCO → Consultant. Strong.

LinkedIn Email Phone

Work Experience

Deloitte
Auditor · 2 years 3 months
ABN
Compliance Officer · 3 years 6 months
Performance Trust Capital Partners
Chief Compliance Officer · 1 year 7 months
BMO Capital Markets
Senior Compliance Officer · 13 years 2 months
+ 3 more positions

Qualification Criteria 3 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

financial services fixed income financial audits internal controls equity trading investment banking capital markets structured products director compliance accounting auditing +8 more
85%

K*** P****

Regulatory Compliance Senior Vice President

New York, New York, United States 15 years 4 months

Strong background in securities regulatory risk within a broker-dealer/investment bank setting, but the title is SVP, not Director, and technical skills are absent. FINRA → Morgan Stanley → Cantor Fitzgerald, SVP level, highly focused on regulatory capital and SEC/FINRA. Strong.

LinkedIn Email Phone

Work Experience

FINRA
Principal Examiner- Program Risk Group (Training) · 2 years 10 months
Cantor Fitzgerald
Senior Vice President
FINRA
Broker Dealer and Securities-Regulatory Risk Member Supervision
Morgan Stanley
Vice President, Regulatory Global Entity Controllers
+ 1 more positions

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

group training credit risk market access internal controls back office balance sheet variance analysis regulatory reporting operational risk business continuity written correspondence financial audits +8 more
85%

J**** P***

Senior Advisor - Capital Markets Compliance

Queens, New York, United States 16 years 7 months

This Senior Advisor explicitly names Capital Markets Compliance and has detailed experience in trade surveillance which often involves the requested technical skills, although SQL/e-Discovery aren't confirmed. Senior Advisor - VP Compliance at Santander US Capital Markets LLC, prior Global Markets Compliance at BMO. Strong.

LinkedIn Email Phone

Work Experience

Morgan Stanley
Tax Intern/ Tax Analyst · 1 year 10 months
Santander US Capital Markets LLC
Senior Advisor - Vice President Compliance
UBS
Trade Surveillance Compliance Officer Consultant · 7 months
UBS
Trade Surveillance Compliance Officer Consultant
+ 6 more positions

Qualification Criteria 3 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance tax brokers database accounting preparation property licensing surveillance equities sales reporting +8 more
85%

D**** H***

Chief Compliance Officer - Insight investment North America

New York, New York, United States 22 years 3 months

This is a very strong profile with C-Level compliance experience, including managing risk coverage for SEC-registered investment advisers and prior experience as Director (Advisory/Regulatory Risk - Capital Markets and Investment Management). Lack of explicit SQL/e-Discovery/Relativity confirmation is the main gap. Insight Investment → TIAA → KPMG → Blackstone, CCO in NY. Strong.

LinkedIn Email Phone

Work Experience

The Blackstone Group
Senior Vice President - Blackstone Alternative Asset Management L.P. - Legal and Product Structuring
Deutsche Bank
Vice President - Deutsche Asset and Wealth Management Compliance
The Blackstone Group
Chief Compliance Officer - Blackstone Senfina Advisors L.L.C.
TIAA
Chief Compliance Officer - TIAA Advice & Planning Services
+ 6 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

asset management wealth management client services financial services product strategy market risk trust services capital markets investment management compliance management p +8 more
85%

M**** C****

Managing Director, Global Head of Compliance at Moelis & Company

New York, New York, United States 33 years 9 months

Excellent leadership as Global Head of Compliance (Director level) covering Investment and Corporate Banking, suggesting strong Capital Markets exposure, but technical skills are not listed. Moelis MD Global Head of Compliance → JP Morgan MD (6.5 yrs) → UBS MD (23 yrs), MBA Finance. Strong.

LinkedIn Email Phone

Work Experience

Moelis & Company
Managing Director
JP Morgan Chase
Managing Director · 6 years 5 months
UBS
Managing Director, Compliance & Operational Risk Control · 23 years 8 months

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

operational risk director compliance banking risk research
85%

S** L****

Director, Citi

New York, New York, United States 19 years 3 months

Excellent fit for Director level compliance within securities, advising broker-dealers, though the specific technical skills are not confirmed in the summary. FINRA → NYSE Regulation → Citi. Strong.

LinkedIn Email Phone

Work Experience

Global Markets Advisory Group LLC
Managing Member · 2 years
Citi
Director (Global Head of ICRM Surveillance Risks & Controls) · 5 years 5 months
Financial Industry Regulatory Authority (FINRA)
Vice President · 6 years 3 months
NYSE Regulation, Inc.
Vice President · 5 years 3 months
+ 1 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

dealers securities surveillance investigations risk director
85%

B**** M****

Managing Director - Head of Equity and Equity Derivatives Compliance

New York, New York, United States 27 years 5 months

This candidate has an executive-level compliance background across global markets, which is highly relevant to Capital Markets, though specific technology skills are not listed. Managing Director/Head of Global Markets Compliance at Societe Generale → SVP at RBS → CCO at ABN AMRO → VP at Bear Stearns → Supervisory Principal at First Union Securities. Strong.

LinkedIn Email Phone

Work Experience

ABN AMRO Bank N.V.
Chief Compliance Officer
First Union Securities
Supervisory Principal
Societe Generale
Managing Director - Head of Equity and Equity Derivatives Compliance
Bear Stearns
Vice President - Compliance Officer
+ 2 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

director compliance derivatives equity derivatives
85%

J**** W****

Director, Corporate & Investment Banking at TD Securities

New York, New York, United States 16 years 10 months

Current Director supporting CIB (Corporate & Investment Banking) compliance and acting as Compliance Advisor for Equity Capital Markets, hitting Capital Markets and Securities division nicely, but missing SQL/e-Discovery/Relativity. TD Securities (Director CIB Compliance) → TD Securities (Compliance Advisor for ECM). Strong.

LinkedIn Email Phone

Work Experience

TD Securities
Senior Compliance Officer · 2 years 10 months
TD Securities
Vice President, Compliance · 9 months
Wellington Management
Investment Compliance Analyst · 8 months
State Street
Associate I - Sanctions, AML Corporate Compliance · 9 months
+ 6 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

director securities banking compliance risk management responsible supervision integration governance regulations enforcement +8 more
85%

G*** H****

Head of Compliance-North American Private Markets

Pembroke, Massachusetts, United States 29 years 3 months

Excellent director-level experience within regulated investment entities, squarely hitting the role/level/location/securities requirements, though missing specified technical skills. CCO at Bain Capital PE/Real Estate/Ventures → PRIM Board → Brown Brothers Harriman, 29 years experience. Strong.

LinkedIn Email Phone

Work Experience

Bain Capital
Senior Vice President · 2 years 11 months
Bain Capital
Vice President-Compliance · 15 years 2 months
Brown Brothers Harriman
Associate · 1 year 7 months
Massachusetts PRIM Board
Risk Management Officer and Senior Financial Analyst · 3 years 7 months
+ 4 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

financial services risk management project management analytical skills organizational change executive management private equity real estate compliance finance strategy analysis +8 more
85%

A**** M****

Regulatory Counsel Serving Dealers, Traders, and Asset Managers Across Various Regulatory Topics

Staten Island, New York, United States 27 years 4 months

Excellent background in capital markets compliance leadership roles, including Director level functions at major investment banks, but the location is slightly out and technical skills are unconfirmed. Led Global Electronic Trading Compliance and Capital Markets Exams at major firms. Strong.

LinkedIn Email Phone

Work Experience

Lava Trading
Buy Side Sales · 3 years
UBS Investment Bank
Director: Senior Compliance Officer · 1 year 4 months
McGuireWoods LLP
Counsel
Citi
Director: Electronic Execution Sales · 5 years
+ 6 more positions

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

legal securities law r sales director compliance trading research banking equities bonds +5 more
85%

R**** T****

Director, ECM Syndicate Americas at Credit Suisse

New York, New York, United States 30 years 2 months

This candidate is a strong fit with dedicated Capital Markets Compliance experience and location in NYC. Ex-Santander → Credit Suisse, focus on ECM Syndicate and Compliance Advisory. Strong.

LinkedIn Email Phone

Work Experience

Credit Suisse
Vice President, Legal and Compliance · 11 years 4 months
Banco Santander S.A. (SanCap USA)
Executive Director-Equity Capital Markets
Credit Suisse
Director, Capital Markets Compliance
Merrill Lynch
Rule 144 Wealth Management Specialist · 10 years 2 months
+ 1 more positions

Qualification Criteria 4 met, 2 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

equity capital markets detail oriented analytical skills communication skills problem solving capital markets legal compliance structured products equity derivatives private banking investment banking best practices +8 more
85%

J*** W****

Chief Compliance Officer US

New York, New York, United States 25 years 11 months

Excellent C-Level/MD experience leading compliance specifically for US Capital Markets and Global Banking/Markets across several major firms. Squarepoint → HSBC → RBC Capital Markets → Barclays Capital → Lehman Brothers.

LinkedIn Email Phone

Work Experience

Lehman Brothers Inc.
Senior Vice President, Equities Compliance · 8 years
HSBC
Managing Director, Americas Head of Regulatory Compliance, Global Banking and Markets · 3 years 2 months
RBC Capital Markets
Managing Director, CCO U.S. Capital Markets · 7 months
HSBC
Managing Director, US Head of Compliance Wholesale Banking, Markets, and Regulatory Affairs · 11 months
+ 6 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance risk equities director banking capital wholesale arbitrage trading commercial professional experience regulatory compliance +3 more
85%

E**** C****

Executive Director at JPMorgan Chase & Co.

New York, New York, United States 21 years 5 months

Strong experience as an Executive Director with regulatory and compliance background mentioning data analysis and trading systems, in the right location, but SQL/e-Discovery/Relativity are not confirmed. Exec Dir @ JPMC → VP @ JPMC → PM Consultant @ HSBC → Dir @ NYSE Regulation, 21 years exp. Strong.

LinkedIn Email Phone

Work Experience

NYSE Euronext
Project Director · 5 years 1 month
HSBC Global Banking and Markets
Project Management Consultant · 1 year 2 months
NYSE Euronext
Senior Analyst · 3 years
JPMorgan Chase & Co.
Vice President · 5 years 6 months
+ 3 more positions

Qualification Criteria 3 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

data mining change control trading systems functional requirements project management regulatory reporting full sdlc regulatory requirements billing process director finra trading +8 more
85%

F**** G****

Managing Director, Head of Investment Compliance Operations and Enterprise Data Management at GoldenTree Asset Management

New York, New York, United States 26 years 5 months

This candidate has a strong combination of Investment Compliance Operations and Enterprise Data Management, explicitly working with Trading/Regulatory Compliance and specializing in technology application, which suggests high technology proficiency like SQL and e-Discovery. MD/SVP leading Investment Compliance Operations/Data Management → Investment Compliance roles for 26 years. Strong.

LinkedIn Email Phone

Work Experience

Charles River Development
Global Compliance Product Manager
Wellington Management
Senior Investment Compliance Officer · 2 years 10 months
Online Business Systems
Sr. Consultant - BA/PM (Engaged primarily at Investor's Bank & Trust) · 1 year 5 months
Charles River Development
Implementation Consultant
+ 6 more positions

Qualification Criteria 3 met, 1 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

investment management regulatory compliance people management mutual funds trading systems data management risk management decision making product design design development market analysis quality assurance +8 more
85%

R*** N***

SVP, Operational Risk Management - Private Bank, Wealth Management, & Capital Markets

Boston, Massachusetts, United States 20 years 2 months

This SVP has significant Capital Markets and Risk Management experience, suggesting deep divisional knowledge, but the title is SVP/Head rather than a direct Compliance Director match, and tech skills are absent. Ex-First Republic → Citizens in SVP Risk/Compliance roles covering Capital Markets. Strong.

LinkedIn Email Phone

Work Experience

Citizens Bank
SVP - Global Markets Risk Manager - Interest Rate Products, FX, & Commodity Derivatives · 5 years 3 months
State Street
Securities Finance - Agency Lending - International Settlements & Collateral Manager · 1 year 2 months
State Street
Securities Finance - Agency Lending & Enhanced Custody Principal Lending - Credit Risk Analyst · 2 years 10 months
State Street
Securities Finance - Agency Lending - Risk Based Capital Analyst · 2 years 10 months
+ 4 more positions

Qualification Criteria 3 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

risk management compliance capital fx commodity derivatives securities finance collateral commercial entertainment +7 more
85%

S**** V****

Global Broker Dealer Compliance Director - Global Banking and Markets

New York, New York, United States 19 years 1 month

Strong Director level match with significant experience in global banking/markets compliance, though specific technical skills are unconfirmed. Experience: Intern → Associate (7 yrs) → VP → Global Director (3.5 yrs) at BofA/ML → Global Compliance Director at Wells Fargo. Strong.

LinkedIn Email Phone

Work Experience

Bank of America Merrill Lynch
Global Corporate and Investment Banking (GCIB) COO - Vice President · 3 years
BBVA
Structured Trade Finance - Intern · 1 year 1 month
Wells Fargo
Global Compliance Director (Global Banking and Markets) · 5 months
Bank of America Merrill Lynch
Latin America COO Group - Associate · 1 year 3 months
+ 3 more positions

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

interpersonal leadership project management problem solving self motivated work ethic talent development investment banking trade finance latin america leadership management operations +8 more
85%

E*** B****

Senior Regulatory Counsel at UBS

New York, New York, United States 34 years 8 months

This senior counsel handles investigations and advises executives on risk for investment banking/wealth management, strongly implying Capital Markets and Securities Division exposure, but the title is Counsel, not Director, and tech skills are not specified. Senior Regulatory Counsel at UBS → Assistant U.S. Attorney. Very strong domain expertise, potentially suitable leadership capacity. Strong.

LinkedIn Email Phone

Work Experience

UBS
Senior Regulatory Counsel · 18 years
United States Attorney's Office
Assistant United States Attorney, Eastern District of New York · 8 years
UBS Financial Services
Internal Investigations and Regulatory Counsel · 4 years
UBS Financial Services Inc.
Head, Internal Investigations · 4 years

Qualification Criteria 3 met, 2 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

supervising investigations management banking compliance risk securities fraud investigation defense strategy settlement +8 more
80%

S**** L**

Problem Solving Attorney, Legal/Financial Industry/Banking & Capital Markets

New York, New York, United States 13 years 6 months

This attorney has direct experience as a Chief Compliance Officer at a securities firm and managed compliance impacts for a securities/derivatives branch setup project, hitting several key criteria. CH&Co PM → Chief Compliance Officer at Samsung Securities America Inc. Strong.

LinkedIn Email Phone

Work Experience

CH&CO for BNP Paribas Bank
PM
Samsung Securities America Inc.
Chief Compliance Officer/COO · 5 years 1 month
Samsung Securities America Inc.
Chief Compliance Officer · 5 years
NH INVESTMENT & SECURITIES AMERICA
CCO/AML/Financial and Operational Principal · 4 years 3 months
+ 1 more positions

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance legal finra audit management securities risk kyc chinese korean ipo selling +8 more
80%

I*** B****

VP, Fixed Income Advisory Compliance at Mizuho

New York, New York, United States 21 years 6 months

Strongly aligned with Compliance Director title requirements, especially in Capital Markets compliance across several major institutions, though specific tech skills aren't explicitly listed in the summary. Mizuho (VP Compliance) → Deutsche Bank (VP Capital Markets Compliance) → Morgan Stanley (VP Capital Markets Compliance). Strong.

LinkedIn Email Phone

Work Experience

SIX Telekurs Financial (USA)
Financial Research Analyst, Fixed Income Group · 2 years
Morgan Stanley
Vice President, Capital Markets Compliance · 11 years
Deutsche Bank
Vice President, Capital Markets Compliance · 2 years 5 months
Mizuho
VP, Fixed Income Advisory Compliance
+ 1 more positions

Qualification Criteria 2 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance research capital trading fixed income capital markets
80%

S**** P****

Vice President, Citi

New York, New York, United States 11 years 10 months

Strong experience in high-level securities compliance testing within institutional and fixed income groups, demonstrating director-level responsibility, but the explicit tech skills remain unconfirmed. VP at Deutsche Bank (FIC Sales/Trading Compliance) → VP at Citi → Director at Morgan Stanley (ISG Compliance). Strong match on domain, weaker on tech proof. Strong.

LinkedIn Email Phone

Work Experience

KPMG US
Risk Consulting - Compliance
Morgan Stanley
Director
Citi
Vice President
Deutsche Bank
Vice President
+ 1 more positions

Qualification Criteria 4 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance testing sales trading risk consulting audit director securities surveillance fixed income internal audit
80%

B**** H****

Director, AML Officer, Compliance Department, SMBC Capital Markets at Sumitomo Mitsui Banking Corporation

New York, New York, United States 21 years 4 months

Good fit for Director level in Capital Markets Compliance with regulatory focus, but the technical skills (SQL, E-Discovery/Relativity) are not mentioned in the main role description provided. Ex-BNY Mellon AML/KYC → Navigant → SMBC Capital Markets Director/AML Officer. Strong.

LinkedIn Email Phone

Work Experience

Booz Allen Hamilton
Commercial Risk & Regulatory Compliance · 1 year 7 months
Bank of New York Mellon
AML/KYC Quality Assurance Analyst Lead · 4 years 1 month
Deutsche Bank Strategic Ventures
Senior Analyst · 1 year 3 months
Forbes Magazine
Writer · 1 year 3 months
+ 2 more positions

Qualification Criteria 3 met, 4 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

capital markets best practices regulatory compliance quality assurance director aml compliance capital management ofac regulations kyc +8 more
80%

A**** R***

Compliance Officer at a16z ( Andreessen Horowitz)

New York, New York, United States 16 years 1 month

This candidate explicitly lists AVP Compliance (Capital Markets) at Deutsche Bank, fulfilling two key requirements, though current title is 'Officer' and technical skills are missing. AVP Compliance (Capital Markets) at Deutsche Bank → Compliance Officer at a16z, J.D., NY/NJ Bar. Strong.

LinkedIn Email Phone

Work Experience

Andreessen Horowitz
Compliance Officer
Weltman & Moskowitz, LLP
Paralegal · 3 years 1 month
Kim & Bae, P.C.
Paralegal · 2 years 3 months
Deutsche Bank
AVP Compliance (Fixed Income) · 9 months
+ 4 more positions

Qualification Criteria 3 met, 3 not

SQL
Location
Relativity
Capital Markets
Compliance Director
Securities division
e-Discovery experience

Skills & Expertise

compliance capital operations fixed income capital markets
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