Managing Director, Equities/Listed Options

SIFMA (Securities Industry and Financial Markets Association); New York (NY); Hybrid; USD 90,000 - 160,000; Full time

Job summary

Join a leading trade association as a Managing Director in Equities/Listed Options. This role involves advising on market structure, developing advocacy strategies, and engaging with regulators and industry stakeholders. You will cultivate relationships, lead discussions, and educate various parties on key issues affecting the securities industry. With a focus on collaboration and professionalism, this position offers a unique opportunity to influence industry standards and practices. If you're passionate about the financial markets and have a strong background in regulatory affairs, this is the perfect role for you.

Benefits

Life and AD&D Insurance

Short-Term and Long-Term Disability Insurance

401(k) with employer contribution

Generous paid time off and holidays

Commuter Subsidy

Qualifications

• 8-10 years of experience in the securities industry on regulatory issues.
• Ability to understand emerging regulations and their impacts.

Responsibilities

• Monitor and address equity and options market structure issues.
• Lead discussions to formulate advocacy strategy for member interests.

Skills

Analytical Skills

Interpersonal Communication

Project Management

Regulatory Knowledge

Advocacy Strategy Development

Education

Bachelor's Degree

Law Degree (optional)

Job description

Managing Director, Equities/Listed Options

Job Category: Equities

Requisition Number: MANAG001257

Posted: February 25, 2025

Job Type: Full-Time

Locations

Location: SIFMA, New York, NY 10005, USA

Description

SIFMA is currently seeking a senior staff adviser on equity market and listed options market structure in SIFMA’s Capital Markets Group. This position is located in SIFMA’s New York office. As an equity markets/listed options staff advisor, your responsibilities will include:

• Work both independently and with other SIFMA staff advisers to monitor and address issues relevant to SIFMA committees that handle equity and options market structure and trading issues.
• Lead member firms discussions to formulate advocacy strategy to ensure that member interests are served/protected (often accomplished through comment letters and meetings with exchanges, FINRA and regulators), and improve industry standards, as appropriate, through the creation of best practices, guidelines, etc.
• Educate members, regulators, media, legislators, market participants and the public through comment letters, meetings, roundtables, conferences, speeches, and publications.
• Provide technical input to and participate with SIFMA’s staff responsible for developing legislative advocacy strategies.
• Cultivate relationships within Membership as well as with regulators, market participants, exchanges, trade groups and other relevant external constituencies.
• Coordinate projects with other trade associations and constituencies as appropriate.
• Develop content for two-day SIFMA Market Structure Conference; responsibilities include speaker invites/confirms, programming, prep calls and conference host.

Qualifications:

• Bachelor’s degree from an accredited university with a minimum of 8-10 years of experience working in the securities industry on regulatory issues and policies related to equity market structure/listed options and trading. A law degree may be helpful but not necessary.
• Knowledge of SEC, FINRA and SRO regulatory and public policy issues, and securities laws and legislation that impact these subject areas.
• Organize and lead monthly committee meetings, manage member expectations and build consensus from constituencies with (sometimes) divergent interests.
• Ability to understand emerging and new regulations and their impact on liquidity, competition, innovation, growth and interplay among trading, compliance, operations and financial issues.
• Strong analytic, oral, written, and interpersonal communication skills, including an ability to work collaboratively within teams.
• Strong project management skills and an ability to manage multiple concurrent projects on tight deadlines.
• Established relationships with senior professionals in the securities industry.
• Adherence to the highest level of professionalism and an ability to interact and build rapport with senior business leaders and regulators.

About us:

SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. On behalf of our industry's one million employees, we advocate on legislation, regulation and business policy affecting retail and institutional investors, equity and fixed income markets and related products and services. We serve as an industry coordinating body to promote fair and orderly markets, informed regulatory compliance, and efficient market operations and resiliency. We also provide a forum for industry policy and professional development. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA).

Benefits Include:

• Life and AD&D Insurance
• Short-Term and Long-Term Disability Insurance
• 401(k) with employer contribution
• Generous paid time off and holidays
• Eligible to work remotely (up to 2 days per week)
• Commuter Subsidy

How to apply:

Please apply directly via our Careers Site or send your cover letter, resume, and salary requirements to [e-mail] and indicate “MD, Equities” in the subject line of your email.

SIFMA is an Equal Opportunity Employer and encourages interested individuals to apply.