Director, Equities Compliance & Controls

TBG | The Bachrach Group; New York (NY); On-site; USD 150,000 - 210,000; Full time

Job summary

The Bachrach Group is seeking a Senior Director of Equity Compliance to support an equities sales and trading platform across cash equities, high-touch execution, and electronic trading channels. You will translate complex regulatory requirements into practical business solutions and strengthen governance, controls, and escalation processes.

The role requires extensive knowledge of U.S. securities regulation, market structure, and the ability to partner with legal, risk, operations, technology,

Qualifications

• Bachelor’s degree or equivalent required; law degree advantageous.
• Eight+ years of securities compliance, regulatory, or legal advisory experience.
• Strong knowledge of cash equities, options, principal trading, and market structure.

Responsibilities

• Act as a senior compliance partner to equities sales and trading personnel, providing timely guidance on regulatory obligations and internal standards.
• Maintain oversight of compliance risks across cash equities, high-touch, principal trading, and electronic platforms.
• Evaluate proposed products, trading strategies, systems, and booking models for regulatory implications and controls.
• Monitor rulemaking and market-structure developments and lead program changes.
• Design and document supervisory controls, procedures, governance routines, and MI for covered activities.
• Conduct risk assessments, thematic reviews, and control testing to identify gaps and remediation.
• Partner with surveillance, technology, operations, legal, risk, and business teams to strengthen trading controls.

Skills

Regulatory advisory

Executive communication

Risk assessment

Cross-functional collaboration

Education

Bachelor’s degree or equivalent

Law degree advantageous

Job description

The Bachrach Group is seeking a Senior Director of Equity Compliance to support an equities sales and trading platform across cash equities, high-touch execution, and electronic trading channels. You will translate complex regulatory requirements into practical business solutions and strengthen governance, controls, and escalation processes.

The role requires extensive knowledge of U.S. securities regulation, market structure, and the ability to partner with legal, risk, operations, technology,