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.

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.