Equities Control Manager - Vice President

About the role

As part of our Equities Business Control Management team, you'll collaborate with diverse partners to drive operational risk excellence and help shape our response to an evolving regulatory landscape. Your expertise will help us maintain high standards and deliver meaningful results.

Responsibilities

• Develop, draft, and implement policies and procedures to ensure compliance with regulatory requirements
• Research and analyze evolving regulatory frameworks to align processes with current standards
• Serve as a subject matter expert on rules and regulations, providing guidance across teams
• Engage with trading, product, account management, and compliance teams to address real-time issues
• Triage and resolve compliance-related questions and incidents efficiently
• Collaborate with outside counsel and regulators regarding supervisory frameworks
• Lead cross-functional initiatives to enhance supervisory controls
• Update team leads and internal decision-makers on regulatory compliance developments
• Maintain a disciplined end-to-end control environment and escalate issues with urgency
• Support top-down risk analysis, real-time issue detection, and root cause remediation
• Partner with the business for timely remediation of identified issues

Requirements

• Bachelor's degree or equivalent experience
• Minimum 7 years of professional experience in financial services, with expertise in controls, audit, quality assurance, operational risk management, compliance, or a related business function
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint)
• Strong written and verbal communication skills, with the ability to distill complex information and interact effectively with senior management
• Advanced analytical thinking, systematic problem-solving abilities, and attention to detail
• Demonstrated organizational skills and ability to manage competing priorities in a fast-paced environment
• Collaborative approach with effective interaction across teams and global time zones
• Adaptability and openness to learning from feedback and new challenges

Preferred Qualifications

• FINRA Certifications: SIE, Series 7, Series 57, Series 63, Series 24, Series 4
• Basic understanding of the trade life cycle, equity, and markets
• Prior front office exposure
• Experience with data analysis or familiarity with coding