Job Title: Compliance Officer
Division: BMS Capital Solutions & Advisory
Reports To: Chief Executive Officer, BMS Capital Solutions & Advisory
Location: United States
Experience: 10+ Years
Required Licenses: FINRA Series 7 & Series 24
Education: Juris Doctor (JD)
Why BMS Capital Solutions & Advisory
BMS CSA is building a differentiated capital advisory platform serving the insurance and financial services industries through:
- Mergers & Acquisitions Advisory
- Capital Markets & Private Placements
- Insurance-Linked Securities
- Structured Reinsurance Solutions
- Legacy & Capital Optimization Transactions
- Strategic Advisory Services
Join us as we continue to build a premier advisory platform defined by innovation, client service, and long-term growth.
About the Role
BMS Capital Solutions & Advisory ("BMS CSA") is seeking an experienced Chief Compliance Officer to lead the compliance function for our growing investment banking and capital advisory platform.
Reporting directly to the Chief Executive Officer, the CCO will oversee all aspects of the firm's compliance program and partner closely with leadership to ensure the highest standards of regulatory excellence, ethics, and governance while enabling continued growth across our advisory businesses.
This is a unique opportunity to help shape a rapidly expanding platform focused on mergers & acquisitions, capital raising, insurance-linked securities, structured reinsurance, and strategic advisory services.
Key Responsibilities
- Lead and administer the firm's compliance program and Written Supervisory Procedures (WSPs).
- Oversee compliance with SEC, FINRA, AML, and applicable securities regulations.
- Serve as the primary liaison with regulators and external compliance advisors.
- Manage regulatory examinations, audits, filings, and reporting obligations.
- Oversee employee supervision, communications surveillance, conflicts management, and Code of Ethics administration.
- Provide compliance oversight for:
- M&A Advisory
- Capital Raising
- Insurance-Linked Securities (ILS)
- Structured Reinsurance
- Legacy and Loss Portfolio Transfers (LPTs)
- Strategic Advisory Engagements
- Advise executive leadership on emerging regulatory and business risks.
Qualifications
- Juris Doctor (JD) required.
- FINRA Series 7 and Series 24 licenses required.
- 10+ years of compliance experience within financial services.
- Experience at either:
- A boutique investment bank; or
- A large global investment bank or broker-dealer.
- Strong knowledge of FINRA, SEC, AML, and broker-dealer regulatory frameworks.
- Experience supporting investment banking, M&A, capital markets, or advisory businesses preferred.
The Ideal Candidate
You are a strategic leader with exceptional integrity, sound judgment, and executive presence. You understand how investment banks grow, appreciate the importance of strong governance, and can build scalable compliance infrastructure that supports innovation while protecting the firm's reputation.
You are comfortable operating in an entrepreneurial environment, partnering closely with senior leadership, and serving as both a trusted advisor and guardian of the firm's regulatory standards.
