Compliance Sr. Manager, Global Equities

Hybrid Compliance Advisor

Under limited supervision and with substantial autonomy, the candidate will apply deep regulatory and compliance expertise to provide independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions. Partners with business, risk, and compliance stakeholders to evaluate trading practices, interpret regulatory requirements, assess controls effectiveness, and address emerging risks. Leads complex, high-impact initiatives, exercises sound judgment in resolving escalated matters, and engages regularly with internal partners and regulatory bodies to support governance, regulatory adherence, and risk mitigation.

• Provides advisory compliance oversight for retail equities and options trading, including review of exception reporting, trading activities, and corrective actions.
• Partners with business units to strengthen policies, controls, and regulatory adherence.
• Leads and coordinates compliance processes, audits, and reporting.
• Researches and interprets regulatory developments.
• Represents Compliance in cross-functional initiatives, and drive process improvements and automation efforts.
• Represents Business Unit Compliance in cross-Compliance Dept initiatives (Risk and Control Self Assessment, Regulatory Change Management).
• Serves as a subject matter resource to stakeholders while independently managing priorities, projects, and competing demands with strong organizational and interpersonal effectiveness.
• Coaches, trains, and mentors other Compliance associates, as needed.
• Serves as a compliance liaison on various committees and projects representing the interest of the department.
• Attends and delivers presentations at industry-related conferences.
• Researches and drafts responses to regulatory inquiries and exams.
• Performs other duties and responsibilities as assigned.

Advanced Knowledge of:

• Strong knowledge of U.S. equity and options market structure, order handling, execution practices, and retail trading workflows
• Experience in trading, advisory compliance, supervision, or regulatory oversight within a broker-dealer environment
• Solid understanding of SEC and FINRA rules applicable to retail trading (e.g., best execution, Reg NMS, Reg SHO, order routing, options suitability, supervision frameworks, trade reporting)
• Ability to assess trading-related risks, interpret complex regulatory requirements, and apply them pragmatically to business processes
• Analytical capability to review exception reporting, surveillance outputs, and trading data to identify trends and emerging risks
• Strong project management skills, including the ability to lead cross-functional initiatives, manage competing priorities, and deliver results independently
• Experience supporting regulatory exams, audits, and remediation efforts
• Ability to drive process improvements and enhance control frameworks in a dynamic trading environment

Advanced Skill in:

• Administering regulatory notification and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
• Operating standard office equipment and using required software applications.

Ability to:

• Coach and mentor others.
• Partner with other functional areas to accomplish objectives.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
• Attend to detail while maintaining a big picture orientation.
• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
• Work independently as well as collaboratively within a team environment.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• Interpret and apply policies and identify and recommend changes as appropriate.
• Quantitatively and/or qualitatively process data.
• Formulate and implement department strategies consistent with long-term company goals.
• Promote team cohesiveness, cooperation, and effectiveness.

• Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• None Required.
• Series 7, 55/57 and 4 are strongly preferred
• Additional licenses/certifications demonstrating the candidate's…