Trade Compliance Officer

Axe Recruiting; New York (NY); Hybrid; USD 80,000 - 120,000; Full time

Benefits offered by this job

Relocation bonus

Sign-on bonus

Medical Insurance

Dental & Vision Insurance

401(k) with company match

Generous PTO

Hybrid work arrangement

Job summary

Axe Recruiting partners with a self-clearing broker-dealer to identify a high-impact Trade Compliance Officer for U.S. equity markets. The role ensures each trade adheres to SEC/FINRA regulations, transforming compliance into a strategic advantage.

Hybrid work arrangement offered (2 days home / 3 days in office) with relocation and sign-on options for NYC-eligible candidates. Benefits include medical, dental, vision, 401(k) with company match, and generous PTO.

Qualifications

• Bachelor’s degree in Finance, Law, Business, or related field.
• Active Series 7 license; Series 24 preferred (or commitment to obtain upon hire).
• Minimum of 1 year hands-on compliance experience in public equities at a broker-dealer.
• Deep knowledge of FINRA and SEC rules governing U.S. equity markets.
• Proven track record executing trade surveillance in high-velocity trading environments.

Responsibilities

• Real-Time Surveillance to ensure equity trades comply with FINRA/SEC and state regulations.
• Partner with traders to embed regulatory controls into daily workflows.
• Draft, implement, and maintain robust trading compliance policies and procedures.
• Conduct internal audits and risk assessments to identify compliance gaps.
• Coordinate responses to regulator inquiries and manage disclosure processes.
• Lead trainings on compliance updates and drive change initiatives.
• Utilize Trillium or equivalent surveillance platforms to detect spoofing and layering.

Skills

Active Series 7 license

Series 24 preferred

Compliance in public equities

FINRA/SEC rules knowledge

Trade surveillance

Surveillance platforms

Education

Bachelor’s degree in Finance, Law, Business, or related field

Tools

Trillium

NASDAQ Smarts

NICE Actimize

Job description

Hybrid (2 Days Home / 3 Days Office)

About the Opportunity

A self-clearing broker-dealer at the heart of U.S. equity markets has partnered with Axe Recruiting to identify a high-impact Trade Compliance Officer. As market complexity accelerates, this mission-critical role will ensure every trade adheres to SEC and FINRA regulations, transforming compliance from a back-office function into a strategic advantage.

Key Responsibilities

• Real-Time Surveillance: Monitor and assess public equity trading activity for compliance with FINRA, SEC, and state regulations—focusing exclusively on equities (no fixed income, e-comms, ETF, or employee-trading surveillance).

• Trader Partnership: Work side-by-side with high-frequency and day-trading teams to embed regulatory controls into daily workflows.

• Policy & Procedure Management: Draft, implement, and maintain robust trading compliance policies and procedures.

• Internal Audits & Risk Assessments: Conduct regular compliance reviews, internal audits, and thematic risk assessments.

• Regulator Liaison: Respond to SEC and FINRA exam inquiries, coordinate documentation, and manage disclosure processes.

• Training & Change Leadership: Lead trainings on compliance updates; drive internal change initiatives to stay ahead of evolving regulatory frameworks.

• Surveillance Platform Expertise: Utilize Trillium (preferred) or equivalent (e.g., NASDAQ Smarts, NICE Actimize) to detect complex trading strategies such as spoofing and layering.

Requirements

Core Qualifications

• Bachelor’s degree in Finance, Law, Business, or related field

• Active Series 7 license; Series 24 preferred (or commitment to obtain upon hire)

• Minimum of 1 year hands-on compliance experience in public equities at a broker-dealer

• Deep knowledge of FINRA and SEC rules governing U.S. equity markets

• Proven track record executing trade surveillance in high-velocity trading environments

Specialty Criteria

• Equities-Only Surveillance: Experience strictly in public-equity trade surveillance; exclude candidates whose sole background is fixed income, electronic-communications, ETF/portfolio, or employee-trading surveillance.

• Trader-to-Compliance Path: Candidates with an equities-trading background (active Series 7/24) who have transitioned or are open to transitioning into compliance tooling will be considered in the junior band.

Compensation & Logistics

• Salary Bands:

  • $80,000 – $120,000 for candidates requiring on-the-job training (e.g., former equities traders)

• Relocation & Sign-On Bonus: Available to attract top talent from outside NYC (notably Chicago)

• Benefits: Medical, Dental & Vision insurance; 401(k) with company match; Generous PTO; hybrid flexibility

Why This Role Matters

This is more than a compliance seat—it’s a leadership post where every second and every trade matters. You will elevate compliance to a competitive advantage, shaping the firm’s program and safeguarding its reputation in the fastest-moving equity markets.

Regulatory Framework Resource

For an overview of the regulatory framework, visit: https://www.sec.gov/divisions/tradingmarkets.shtml