Senior Level Institutional Equity Sales Jobs
Senior level institutional equity sales jobs place experienced professionals in charge of client relationships, revenue strategy, and the sales efforts that move institutional capital. Opportunities cover 21% remote and hybrid settings across Biotechnology & Pharmaceuticals, Investment & Asset Management, and Banking & Financial Services, with employers like Bayer, StoneX Group, and Morgan Stanley hiring at this level now.
Find JobsOverview
Showing 5 of 33+ Senior Level Institutional Equity Sales jobs
** Work Location/Arrangement: This is a hybrid position requiring in-office work four days every week, with on remote work day/week possible. The position will be based at an M&T Bank corporate office in Buffalo, NY, Wilmington, DE, Iselin, NJ, or possibly NY, NY.
Overview:
The Compliance Testing Advisor is responsible for the managing, leading, and execution of compliance testing engagements utilizing a risk-based approach in line with department standards to ensure the Bank’s compliance with applicable laws, rules & regulations. The Compliance Testing Advisor is also responsible for the oversight and coaching of team members to deliver a quality product in line with department standards. This role supports continued enhancements to testing methodology, ongoing stakeholder engagement, and overall promotion of the Compliance Testing Group within the organization.
Position Responsibilities:
- Interface with all layers of the organization independently to obtain information related to processes and controls.
- Perform compliance testing in accordance with department and professional standards.
- Oversee planning and execution of testing, including multiple simultaneous testing engagements across a defined testing portfolio.
- Ensure testing engagements are completed within established timeframes, and/or provide early escalation of anticipated delays to senior management.
- Draft and communicate substantive testing findings and control execution weaknesses to all levels of compliance and business unit management under the direction of a manager.
- Lead collaborative testing team discussions with all levels of management where judgment and opinions are effectively challenged.
- Review test findings with testing management and other compliance officers to confirm validity of issues; make recommendations to Senior Compliance Testing Manager regarding the appropriate tier rating of identified issues.
- Work with business units and compliance groups to ensure consistent understanding of requirements.
- Responsibilities may also include system administrative duties such as maintenance, validation, and/or updating in the compliance data management system (Archer).
- Review work papers of all team members and provide related feedback, coaching, and mentoring.
- Build a working relationship with mid-level Internal Audit, Business Units, and Corporate Compliance Portfolio Managers.
- Encourage integrated testing approaches with the data & systems team and make suggestions on testing approaches to improve the efficiency and effectiveness of testing procedures.
- Serve as knowledge resource for all staff.
- Maintain a comprehensive working knowledge of regulatory requirements to ensure an appropriate level of testing.
- Provide feedback to team members regarding assessments of business unit process and controls and respective risk focused input on effectiveness and efficiency of testing approach.
- Independently document and assess all levels of test scripts.
- Participate in special projects and department wide initiatives, as necessary.
- Multitask assignments and meet established deadlines.
- Understand and adhere to the Company’s risk and regulatory standards, policies, and controls in accordance with the Company’s Risk Appetite. Identify risk-related findings needing escalation to a Manager.
- Promote an environment that supports diversity and reflects the M&T Bank brand.
- Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable. Complete other related duties as assigned.
Nature and Scope:
The position works under the direction of the Compliance Testing Manager and is required to exercise independent judgment and discretion utilizing a risk-based approach.
The position collaborates extensively with (a) Corporate Compliance subject matter deputies (PCMs) to gain an appropriate understanding of applicable regulatory requirements, (b) business unit staff and PCMs to understand workflows and processes, and (c) Internal Audit as a resource for review and coordination of testing plans and methods.
The position will interact with external contacts including Bank Supervisors/Examiners and peers at other institutions.
Assist in oversight of Wealth Management, Institutional Services and Institutional broker dealer testing for state, federal, domestic, and possibly international regulator relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, State of New York, and/or the State of Delaware, as applicable.
Education/Experience Required:
- Bachelor's Degree in related field PLUS 6 years’ experience in compliance, legal, audit, risk, or other relevant function, OR in lieu of degree, a combined minimum of 10 years higher education and/or work experience, including 6 years in compliance, legal, audit, risk or other relevant function
- Demonstrated coaching/leadership experience.
- Institutional Services and Wealth Management experience, especially compliance related to this area, is highly preferred.
- Experience building compliance/audit test scripts is highly preferred.
- Ability to read and understand laws, regulations, and common law applicable to subject matter.
- Ability to exercise judgment and sound discretion and understand when Corporate Compliance Management guidance is needed.
- Strong, comprehensive understanding of financial services functions.
- Ability to thrive in a collaborative, team-oriented environment.
- Strong interpersonal skills, having the ability to effectively communicate both orally and in writing to mid-level management.
- Strong organizational and analytical skills.
- Possess regulatory subject matter expertise related to aspects of the portfolio. Strong proficiency with spreadsheet, presentation, and word processing software.
Education/Experience Preferred:
- Related certifications (CPA, CIA, CISA, CAMS, CRCM or similar certifications).
- MBA or master’s degree in an appropriate field.
Location
Buffalo, New York, United States of America** Work Location/Arrangement: This is a hybrid position requiring in-office work four days every week, with on remote work day/week possible. The position will be based at an M&T Bank corporate office in Buffalo, NY, Wilmington, DE, Iselin, NJ, or possibly NY, NY.
Overview:
The Compliance Testing Advisor is responsible for the managing, leading, and execution of compliance testing engagements utilizing a risk-based approach in line with department standards to ensure the Bank’s compliance with applicable laws, rules & regulations. The Compliance Testing Advisor is also responsible for the oversight and coaching of team members to deliver a quality product in line with department standards. This role supports continued enhancements to testing methodology, ongoing stakeholder engagement, and overall promotion of the Compliance Testing Group within the organization.
Position Responsibilities:
- Interface with all layers of the organization independently to obtain information related to processes and controls.
- Perform compliance testing in accordance with department and professional standards.
- Oversee planning and execution of testing, including multiple simultaneous testing engagements across a defined testing portfolio.
- Ensure testing engagements are completed within established timeframes, and/or provide early escalation of anticipated delays to senior management.
- Draft and communicate substantive testing findings and control execution weaknesses to all levels of compliance and business unit management under the direction of a manager.
- Lead collaborative testing team discussions with all levels of management where judgment and opinions are effectively challenged.
- Review test findings with testing management and other compliance officers to confirm validity of issues; make recommendations to Senior Compliance Testing Manager regarding the appropriate tier rating of identified issues.
- Work with business units and compliance groups to ensure consistent understanding of requirements.
- Responsibilities may also include system administrative duties such as maintenance, validation, and/or updating in the compliance data management system (Archer).
- Review work papers of all team members and provide related feedback, coaching, and mentoring.
- Build a working relationship with mid-level Internal Audit, Business Units, and Corporate Compliance Portfolio Managers.
- Encourage integrated testing approaches with the data & systems team and make suggestions on testing approaches to improve the efficiency and effectiveness of testing procedures.
- Serve as knowledge resource for all staff.
- Maintain a comprehensive working knowledge of regulatory requirements to ensure an appropriate level of testing.
- Provide feedback to team members regarding assessments of business unit process and controls and respective risk focused input on effectiveness and efficiency of testing approach.
- Independently document and assess all levels of test scripts.
- Participate in special projects and department wide initiatives, as necessary.
- Multitask assignments and meet established deadlines.
- Understand and adhere to the Company’s risk and regulatory standards, policies, and controls in accordance with the Company’s Risk Appetite. Identify risk-related findings needing escalation to a Manager.
- Promote an environment that supports diversity and reflects the M&T Bank brand.
- Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable. Complete other related duties as assigned.
Nature and Scope:
The position works under the direction of the Compliance Testing Manager and is required to exercise independent judgment and discretion utilizing a risk-based approach.
The position collaborates extensively with (a) Corporate Compliance subject matter deputies (PCMs) to gain an appropriate understanding of applicable regulatory requirements, (b) business unit staff and PCMs to understand workflows and processes, and (c) Internal Audit as a resource for review and coordination of testing plans and methods.
The position will interact with external contacts including Bank Supervisors/Examiners and peers at other institutions.
Assist in oversight of Wealth Management, Institutional Services and Institutional broker dealer testing for state, federal, domestic, and possibly international regulator relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, State of New York, and/or the State of Delaware, as applicable.
Education/Experience Required:
- Bachelor's Degree in related field PLUS 6 years’ experience in compliance, legal, audit, risk, or other relevant function, OR in lieu of degree, a combined minimum of 10 years higher education and/or work experience, including 6 years in compliance, legal, audit, risk or other relevant function
- Demonstrated coaching/leadership experience.
- Institutional Services and Wealth Management experience, especially compliance related to this area, is highly preferred.
- Experience building compliance/audit test scripts is highly preferred.
- Ability to read and understand laws, regulations, and common law applicable to subject matter.
- Ability to exercise judgment and sound discretion and understand when Corporate Compliance Management guidance is needed.
- Strong, comprehensive understanding of financial services functions.
- Ability to thrive in a collaborative, team-oriented environment.
- Strong interpersonal skills, having the ability to effectively communicate both orally and in writing to mid-level management.
- Strong organizational and analytical skills.
- Possess regulatory subject matter expertise related to aspects of the portfolio. Strong proficiency with spreadsheet, presentation, and word processing software.
Education/Experience Preferred:
- Related certifications (CPA, CIA, CISA, CAMS, CRCM or similar certifications).
- MBA or master’s degree in an appropriate field.
Location
Buffalo, New York, United States of AmericaSee All 33 Senior Level Institutional Equity Sales Jobs
Find roles that match your experience and apply in just a few clicks.
Find JobsSenior Level Institutional Equity Sales Job Market
Who's Hiring
- Bayer14
- StoneX Group9
- Morgan Stanley2
- M&T Bank1
- U.S. Bank1
Top Industries Hiring
- Biotechnology & Pharmaceuticals14
- Investment & Asset Management10
- Banking & Financial Services9
- Education3
- Consulting & Professional Services2
Senior Level Institutional Equity Sales Jobs: Frequently Asked Questions
How do I get a senior level institutional equity sales job?
Employers at this level look for candidates with a demonstrated history of managing institutional client portfolios, generating revenue from buy-side relationships, and influencing investment decisions across asset classes. Strong product knowledge in equities, a network of institutional contacts, and the ability to lead junior sales staff or coordinate with trading desks all sharpen a candidacy. Tailoring your resume to reflect AUM exposure and named account wins gives you a clear edge.
Which companies hire senior level institutional equity saless?
Companies hiring senior level institutional equity saless right now include Bayer, StoneX Group, and Morgan Stanley, based on current listings on Migrate Mate as of November 2026. Hiring at this level is concentrated among bulge-bracket banks, regional broker-dealers, asset managers, and independent research boutiques that maintain active institutional coverage desks.
Are there remote senior level institutional equity sales jobs?
Yes, though most roles still favor proximity to major financial centers. About 21% of senior level institutional equity sales openings are remote or hybrid as of November 2026, reflecting client-facing demands that often require in-person relationship management. Hybrid arrangements are more common at larger firms where relationship coverage is shared across regional teams.
What makes a institutional equity sales role senior level?
Senior level institutional equity sales roles carry ownership over named institutional accounts, revenue targets, and coverage strategy for a defined client segment. Professionals at this stage are expected to operate with minimal oversight, mentor junior sales associates, and collaborate directly with research analysts and traders to deliver actionable ideas. The scope shifts from executing coverage tasks to shaping how the desk approaches a client base.
Which industries hire the most senior level institutional equity saless?
Senior Level institutional equity sales roles concentrate in Biotechnology & Pharmaceuticals, Investment & Asset Management, and Banking & Financial Services, based on current listings on Migrate Mate as of November 2026. These sectors drive hiring because they maintain large, active institutional sales teams that require seasoned professionals to manage complex client relationships and navigate evolving market conditions.