Compliance Officer - Equities

Anonymous; New York (NY); On-site; USD 180,000 - 240,000; Full time

Job summary

Anonymous seeks an Equities Compliance Officer at Director level to lead regulatory advisory for its Equity Sales & Trading business in New York. The role requires deep regulatory expertise and the ability to shape the firm's compliance program.

You will advise front-office stakeholders, oversee the equities compliance program, respond to regulatory inquiries, and drive policy development and control enhancements.

Qualifications

• 8+ years of securities compliance experience.
• Equities Sales & Trading advisory experience.
• Strong knowledge of SEC, FINRA, NYSE, NASDAQ, and CBOE regulations.

Responsibilities

• Advise front-office stakeholders on regulatory matters and firm policies.
• Oversee the equities compliance program.
• Support new business initiatives, risk assessments, and control enhancements.
• Manage regulatory inquiries, examinations, and policy development.

Skills

Regulatory advisory

Equities compliance

Stakeholder management

Job description

Leading investment firm is seeking an Equities Compliance Officer (Director level hire) to provide regulatory advisory support to its Equities Sales & Trading business.

Key responsibilities:

• Advise front-office stakeholders on regulatory matters and firm policies
• Oversee the equities compliance program
• Support new business initiatives, risk assessments, and control enhancements
• Manage regulatory inquiries, examinations, and policy development

Requirements:

• 8+ years of securities compliance experience
• Equities Sales & Trading advisory experience
• Strong knowledge of SEC, FINRA, NYSE, NASDAQ, and CBOE regulations