Senior Compliance Officer - Equities

Overview

We are seeking a highly motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will provide real-time regulatory guidance and oversight to the firm’s equities trading and sales teams. The role ensures that business activities across the equities product spectrum comply with relevant regulatory requirements and internal policies. The position requires strong product knowledge, excellent communication skills, and the ability to translate regulatory expectations into practical and relevant guidance.

The successful candidate will partner closely with front‑office stakeholders, manage regulatory risk, support surveillance and control frameworks, and contribute to a strong culture of compliance.

• Collaborate with the business to enhance processes, drive efficiencies, and support strategic growth initiatives.
• Advise on regulatory considerations for new business initiatives, algorithmic trading, complex transactions, and desk-level enhancements.
• Support new system and platform implementations, regulatory change initiatives, and control enhancements.
• Prepare documentary support, coordinate with internal groups, and help draft responses to regulatory inquiries and requests for information.
• Develop and maintain relationships with senior business stakeholders.
• Provide day-to-day guidance on regulatory questions, trading rules, market conduct, and policy interpretation.
• Identify emerging risks related to market structure, regulatory change, or product development.
• Work closely with other members of the trading compliance team in the US and globally, ensuring coordination and collaboration.

• 5–10+ years of compliance experience within equities markets
• Strong understanding of equities products and market structure (e.g., cash equities, ETFs, options exposure, electronic/algorithmic trading)
• Working knowledge of relevant regulations, including:
  Exchange Act rules, SEC and FINRA regulations, Regulation NMS, Regulation SHO, Rule 10b-5, market abuse frameworks, and equity trading/reporting requirements.
• Excellent judgment, communication skills, and ability to provide concise, practical advice
• Experience interacting with traders and senior business stakeholders
• Relevant licenses (e.g., Series 7, 24) or willingness to obtain