Head of Broker-Dealer Compliance

About the role

Our client is seeking a senior Compliance professional to lead the Broker-Dealer Compliance function supporting U.S. trading and business activities. This individual will manage a team of Compliance professionals and act as a key advisor to the business across Equities, Fixed Income, and Listed Options. The role is highly advisory and requires someone who can assess regulatory issues, identify risk, and provide practical guidance to senior business leaders in a fast-paced trading environment.

Responsibilities

• Manage and develop the U.S. Broker-Dealer Compliance team
• Provide day-to-day regulatory guidance to trading and business teams
• Support Equities, Fixed Income, Listed Options, and related activities
• Oversee core Broker-Dealer compliance and regulatory programs
• Partner with senior management on regulatory issues, business initiatives, and risk matters
• Coordinate regulatory exams, inquiries, and internal compliance reviews
• Review and update compliance policies, procedures, and supervisory documentation
• Monitor regulatory developments and assess their impact on the business

Qualifications

• 10+ years of Broker-Dealer Compliance experience
• Strong knowledge of U.S. securities regulations and Broker-Dealer requirements
• Experience supporting Equities, Fixed Income, and/or Listed Options
• Prior experience managing or mentoring Compliance professionals
• Strong understanding of trade-related compliance and regulatory reporting