Broker Dealer Compliance Advisory- Equities & Options

Dynamics Executive Search; New York (NY); On-site; USD 150,000 - 190,000; Full time

Job summary

Dynamics Executive Search is seeking a senior Compliance professional for a brokerage advisory role focused on equities and options. The candidate will serve as a trusted compliance partner, advising on regulatory questions, evaluating risks, and maintaining supervisory controls across markets.

The role involves collaboration with Legal, Risk, Operations and other control functions, and requires strong judgment to balance regulatory requirements with practical business guidance.

Qualifications

• 8+ years of compliance or regulatory experience.
• Experience advising trading, markets, or front-office businesses.
• Strong knowledge of the U.S. regulatory environment.
• Bachelor's degree required; advanced degrees or professional qualifications beneficial.
• Excellent communication and relationship-management skills.

Responsibilities

• Advise on day-to-day regulatory questions and evaluate compliance risks.
• Review new business initiatives and maintain policies and supervisory controls.
• Participate in regulatory projects and implement changes from evolving requirements.
• Collaborate with Legal, Risk, Operations and control functions across the business.

Skills

Regulatory compliance

Policy interpretation

Stakeholder communication

Risk assessment

Regulatory project experience

Education

Bachelor's degree

Job description

Broker Dealer Compliance Advisory- Equities & Options

We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses.

The role will work closely with business professionals and Compliance leadership, providing practical guidance on regulatory matters and helping the organization navigate new initiatives and an evolving regulatory environment.

The Opportunity

This individual will serve as a trusted Compliance partner to the business. Responsibilities will include advising on day-to-day regulatory questions, evaluating potential compliance risks, reviewing new business initiatives, and helping maintain effective policies and supervisory processes.

The position will also participate in broader regulatory and compliance projects, including responses to regulatory requests, reviews of existing controls and procedures, and implementation of changes resulting from new or evolving requirements.

The successful candidate will collaborate extensively with colleagues across the business, Legal, Risk, Operations, and other control functions.

Experience We're Seeking

• 8+ years of Compliance, Legal, regulatory, or comparable financial services experience
• Experience advising trading, markets, or other front-office businesses
• Strong knowledge of the U.S. financial-services regulatory environment
• Ability to interpret complex rules and provide clear, practical guidance to business stakeholders
• Experience reviewing policies, procedures, and supervisory controls
• Exposure to new-product or new-business reviews
• Strong judgment and ability to independently manage sensitive regulatory matters
• Bachelor's degree required; advanced degrees or professional qualifications are beneficial
• Excellent communication and relationship-management skills

This opportunity is best suited for a commercially minded Compliance professional who enjoys being close to the business and can balance regulatory requirements with practical decision-making.

For additional information, please reach out directly for a confidential discussion.