Equities Compliance Director
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-08-26
Listing for:
Anonymous
Full Time
position Listed on 2026-08-26
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
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
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