Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, and Institutional B/D
Company websitemtb.com (M&T Bank, opens in new tab)
Base salary $109,300 to $182,100
Employer-published annual base salary, USD. Advertised base range in New York, NY
You apply on the employer's own site. Six Figure Work does not handle applications.
- LocationNew York, NY
- WorkplaceWorkplace not stated
- Status at last checkSource accepting applications when checked
- Last checked (2 h ago) · observed since
About this job
Hybrid role requiring 4 days in the office, location flexible based on M&T Bank footprint.
Overview:
The Vice President, Compliance Consultant serves as a senior compliance advisor and subject matter expert responsible for providing independent compliance oversight, advisory support, and credible challenge to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets (DCM), and Equity Capital Markets (ECM) activities. Operating within the Second Line of Defense, this role partners closely with business leadership, Legal, Risk, Operations, Internal Audit, and Regulatory Relations to ensure compliance with applicable laws, regulations, regulatory guidance, and internal policies.
The VP Compliance Consultant plays a critical role in identifying, assessing, monitoring, and mitigating regulatory and compliance risks associated with securities underwriting, equity and debt offerings, private placements, institutional sales and trading, syndicate activities, research independence, information barriers, and related capital markets activities.
Key Responsibilities
Compliance Advisory & Risk Oversight
- Provide day-to-day compliance advisory support to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets, and Equity Capital Markets businesses.
- Serve as a trusted advisor to business management regarding regulatory requirements, emerging risks, and industry best practices.
- Deliver independent review and credible challenge of business activities, strategic initiatives, new products, and transactions.
- Advise stakeholders regarding conduct risk, supervisory controls, conflicts of interest, and regulatory expectations.
Regulatory Compliance Program Management
- Identify, assess, and monitor compliance risks within assigned business lines.
- Perform compliance risk assessments and evaluate the effectiveness of existing controls.
- Develop and maintain compliance monitoring and testing programs designed to assess regulatory adherence and control effectiveness.
- Oversee issue management activities, including root cause analysis, corrective action development, and remediation validation.
Investment Banking & Capital Markets Compliance
- Provide compliance guidance related to:
- Debt Capital Markets (investment-grade and high-yield offerings)
- Equity Capital Markets (IPOs, secondary offerings, follow-on offerings)
- Private placements and Rule 144A offerings
- Mergers and acquisitions advisory activities
- Syndicate management activities
- Institutional sales and trading operations
- Research analyst independence requirements
- Information barrier programs and insider trading controls
- Review deal-related activities for applicable regulatory and policy compliance.
- Advise on conflicts management and restricted list administration.
Knowledge Areas
The successful candidate should possess expertise in:
- Securities Exchange Act of 1934
- FINRA Rules and Regulatory Notices
- SEC Broker-Dealer Regulations
- Investment Adviser Act considerations applicable to institutional activities
- Regulation Best Interest (Reg BI)
- Regulation M
- Rule 144A Offerings
- Securities Offering Processes
- Debt and Equity Underwriting Activities
- Information Barrier Programs
- Insider Trading Prevention
- Research Analyst Rules
- Institutional Sales & Trading
- Market Conduct Requirements
- Supervisory Control Frameworks
- Electronic Communications Surveillance
- Employee Trading and Personal Account Dealing Programs
- AML/BSA and Sanctions considerations relevant to capital markets activities
Qualifications
Required
- Bachelor's degree in Finance, Accounting, Business, Economics, Law, or related field.
- 10+ years of compliance, legal, regulatory, risk management, audit, or related financial services experience.
- Significant experience supporting Institutional Broker-Dealer, Investment Banking, Debt Capital Markets, or Equity Capital Markets businesses.
- Demonstrated knowledge of SEC, FINRA, and securities industry regulatory requirements.
- Experience managing regulatory examinations and interacting with regulators.
- Strong analytical, risk assessment, and problem-solving capabilities.
- Excellent written, verbal, and executive-level communication skills.
Preferred
- Juris Doctor (JD), MBA, or other advanced degree.
- Experience supporting publicly offered debt and equity transactions.
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $109,300.00 - $182,100.00 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.
Location
New York, New York, United States of AmericaSource: M&T Bank on Workday · View original posting (opens in new tab)
How this pay compares
Base floor $109,300, above 14% of the 497 Business Operations roles in New York on this site; the other 86% list the same floor or a higher one. The employer's range is $72,800 wide, 67% of the floor. Observed open for 24 days so far (since Oct 14, 2026).
Pay in context
Among 497 Business Operations roles in New York listed on this site, the median base floor is $135,000 and the middle half runs from $117,500 to $164,800. This role's floor ($109,300) is above 14% of them.
Base floors of 497 Business Operations roles in New York
Table
| Floor band | Share | Postings |
|---|---|---|
| $100K to $125K | 38.2% | 190 |
| $125K to $150K | 23.5% | 117 |
| $150K to $175K | 17.7% | 88 |
| $175K to $200K | 9.1% | 45 |
| $200K to $225K | 7.0% | 35 |
| $225K to $250K | 2.2% | 11 |
| $250K to $275K | 1.4% | 7 |
| $275K and up | 0.8% | 4 |
How this is calculated
- Statistic
- Base floor distribution of the cohort
- Formula
- count of cohort postings in each $25K band of published base floor / postings in the cohort
- Denominator
- 497 open postings with this job family in New York
- Sample size
- 497
- Hidden when
- needs at least 30 postings in the cohort
- Calculation version
- jobpage-analysis-v1
- Data as of
- 2026-11-08
- Employer set
- Open jobs on this site that publish a base salary of $100,000 or more
Only jobs on this site count, and each one publishes a base salary of $100,000 or more, so this compares six-figure jobs with each other, not with the whole market. Computed Nov 8, 2026.
State against nationwide
Median base floor in New York vs nationwide
Table
| Value | postings | |
|---|---|---|
| Business Operations, New York | $135K | 497 |
| Business Operations, all states | $135K | 4,129 |
| This job's base floor (marked) | $109,300 |
How this is calculated
- Statistic
- Median floor, state vs nationwide
- Formula
- median published base floor of each cohort
- Denominator
- open postings of this job family
- Sample size
- 497 in New York; 4129 nationwide
- Hidden when
- needs at least 30 postings in both cohorts
- Calculation version
- jobpage-analysis-v1
- Data as of
- 2026-11-08
- Employer set
- Open jobs on this site that publish a base salary of $100,000 or more
How M&T Bank pays
140 of M&T Bank's 185 live roles on this site list a higher base floor and 42 list a lower one. Across them the median floor is $119,500; the middle half runs from $113,300 to $139,700.
Base floors of M&T Bank's 185 live roles
Table
| Floor band | Share | Roles |
|---|---|---|
| $100K to $125K | 56.8% | 105 |
| $125K to $150K | 25.4% | 47 |
| $150K to $175K | 13.5% | 25 |
| $175K to $200K | 1.1% | 2 |
| $200K to $225K | 3.2% | 6 |
How this is calculated
- Statistic
- Employer base floor distribution
- Formula
- count of the employer's open roles in each $25K band of published base floor / its open roles
- Denominator
- 185 open public roles at this employer
- Sample size
- 185
- Hidden when
- needs at least 5 roles
- Calculation version
- jobpage-analysis-v1
- Data as of
- current
- Employer set
- Open jobs on this site that publish a base salary of $100,000 or more
Similar pay elsewhere
Other employers' Business Operations roles in New York with the nearest published base floor to $109,300, one per employer.
- Manager, Enterprise Quality PayPal · base floor $109,000
- Strategy Operations Manager Justworks · base floor $109,000
- BXMA- Direct Trading Operations, Analyst Blackstone · base floor $110,000
- Fund Operations Associate Allocate · base floor $110,000
- Strategic Pricing Manager (Hybrid - NYC or Brentwood, LI) Broadridge · base floor $110,000
This listingSenior Compliance Consultant - Capital Markets, Commercial and Investment Banking, and Institutional B/D$109,300 to $182,100
Leasing Lead Credit Underwriter$109,300 to $182,100
Residential Mortgage Sales Manager$109,300 to $182,100
Senior Business Analytics & Reporting Manager - BSA/AML (hybrid Buffalo, NY)$107,500 to $179,100
Senior Relationship Manager, Equipment Finance$107,500 to $179,100
Business Agility & Execution Enablement Lead$107,500 to $179,100
Product Manager III - Oracle Reporting Platform Specialist (Hybrid - see job description for potential work locations)$107,500 to $179,100
Chart as a table
| Role | Published base |
|---|---|
| Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, and Institutional B/D (this listing) | $109,300 - $182,100 |
| Leasing Lead Credit Underwriter | $109,300 - $182,100 |
| Residential Mortgage Sales Manager | $109,300 - $182,100 |
| Senior Business Analytics & Reporting Manager - BSA/AML (hybrid Buffalo, NY) | $107,500 - $179,100 |
| Senior Relationship Manager, Equipment Finance | $107,500 - $179,100 |
| Business Agility & Execution Enablement Lead | $107,500 - $179,100 |
| Product Manager III - Oracle Reporting Platform Specialist (Hybrid - see job description for potential work locations) | $107,500 - $179,100 |
Observed changes
No changes to the pay or listing since we first observed this role on Oct 14, 2026 (24 days ago).
- First observed on the employer's board, already publishing a qualifying base salary
- Observed since
- Employer-stated posting date
- 2026-10-02
Where this pay comes from
Location as the employer wrote it: New York, NY
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $109,300.00 - $182,100.00 Annual (USD). The successful candidate’s particular combina
- Method
- Employer text, read with fixed rules and re-verified
- Checked
- Rule set
- us-base-v2
The pay passage appears in the employer's own job text. Fixed, deterministic rules located it, and the passage below was checked against the stored copy of the posting.
What we verified
- The pay figures come from the employer's own listing, quoted exactly above.
- The pay is an annual base salary in US dollars with a minimum of at least $100,000.
- The role was publicly listed on the employer's job board when last checked.
We do not verify what the employer will actually offer, whether the employer is still recruiting for the role, or anything beyond what the employer published. Full methodology.