Head of Broker-Dealer Compliance

Our client is seeking a senior Compliance professional to lead the Broker-Dealer Compliance function supporting U.S. trading and business activities. This individual will manage a team of Compliance professionals and act as a key advisor to the business across Equities, Fixed Income, and Listed Options
.

The role is highly advisory and requires someone who can assess regulatory issues, identify risk, and provide practical guidance to senior business leaders in a fast-paced trading environment.

Our client is seeking a senior Compliance professional to lead the Broker-Dealer Compliance function supporting U.S. trading and business activities. This individual will manage a team of Compliance professionals and act as a key advisor to the business across Equities, Fixed Income, and Listed Options
.

The role is highly advisory and requires someone who can assess regulatory issues, identify risk, and provide practical guidance to senior business leaders in a fast-paced trading environment.

• Manage and develop the U.S. Broker-Dealer Compliance team

• Provide day-to-day regulatory guidance to trading and business teams

• Support Equities, Fixed Income, Listed Options, and related activities

• Oversee core Broker-Dealer compliance and regulatory programs

• Partner with senior management on regulatory issues, business initiatives, and risk matters

• Coordinate regulatory exams, inquiries, and internal compliance reviews

• Review and update compliance policies, procedures, and supervisory documentation

• Monitor regulatory developments and assess their impact on the business

• 10+ years of Broker-Dealer Compliance experience

• Strong knowledge of U.S. securities regulations and Broker-Dealer requirements

• Experience supporting Equities, Fixed Income, and/or Listed Options

• Prior experience managing or mentoring Compliance professionals

• Strong understanding of trade-related compliance and regulatory reporting