Director Equities & Options Compliance Advice

Key Responsibilities

• Provide day-to-day compliance advisory coverage to Equities Sales and Trading businesses.
• Advise front-office personnel on regulatory requirements, market conduct risks and compliance policies.
• Interpret and implement regulatory developments impacting Equities businesses, including SEC, FINRA, CFTC and exchange rules.
• Participate in new business initiatives, product launches and strategic projects, identifying and mitigating regulatory risks.
• Support investigations, regulatory inquiries and internal reviews.
• Afford compliance training programmes.
• Conduct thematic reviews and risk assessments across Equities trading activities.
• Partner with Surveillance, Compliance Testing and Financial Crimes teams to ensure a robust control framework.
• Build strong relationships with senior business stakeholders and serve as a key point of contact for compliance matters.

Requirements

• Significant experience within a Compliance Advisory function at a large investment bank, wholesale bank or broker-dealer.
• Direct coverage of Equities Sales and Trading businesses is essential.
• Strong knowledge of U.S. securities regulations, market structure and market conduct rules.
• Experience advising senior trading and sales personnel on regulatory and compliance matters.
• Prominent ability to manage multiple stakeholders in a dynamic, front-office environment.
• Excellent communication, influencing and problem-solving skills.
• Bachelor's degree required; relevant industry qualifications are advantageous.

Preferred Background

• Current or very recent experience within the Compliance Advisory team of a major global bank.
• Exposure to electronic trading, prime services and wider equity derivatives would be advantageous.