Senior Compliance Officer - Equities
On-siteBala Cynwyd, Pennsylvania, United States
Bala Cynwyd, Pennsylvania, United StatesOn-siteFull TimeSenior LevelLarge
Full TimeSenior LevelLarge
Job Summary
Provide real-time regulatory guidance and oversight to the firm's equities trading and sales teams. Advise on regulatory considerations for new business initiatives, algorithmic trading, and complex transactions. Collaborate with the business to enhance processes, support system implementations, and draft responses to regulatory inquiries. Identify emerging risks related to market structure and product development while working closely with global trading compliance team members. Ensure business activities across the equities product spectrum comply with relevant regulatory requirements and internal policies.
Required Qualifications
- 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
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.