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Equities Compliance & Surveillance Lead
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-10
Listing for:
Madison-Davis, LLC
Full Time
position Listed on 2026-02-10
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
A globally recognized financial services firm is seeking an Equities Compliance Officer in New York City. This role involves advising the Equities business on U.S. regulatory requirements and firm policies, enhancing compliance frameworks, and supporting regulatory exams. The successful candidate will collaborate with various teams to implement effective compliance strategies and conduct risk assessments to ensure adherence to industry standards.
Strong experience in compliance and regulatory guidance is essential for this role.
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