Senior Compliance Officer

About the role

The Senior Compliance Officer will provide real-time regulatory guidance and oversight to the firm’s equities trading and sales teams, ensuring a strong culture of compliance across the firm.

Responsibilities

• Ensure business activities across the equities product spectrum comply with relevant regulatory requirements and internal policies.
• Translate regulatory expectations into practical and relevant guidance.
• Provide real-time regulatory guidance and oversight to the firm’s equities trading and sales teams.
• Ensure a strong culture of compliance across the firm.

Requirements

• Bachelors Degree
• 6+ years of relevant experience
• Strong understanding of equities products and market structure
• Knowledge of SEC and FINRA regulations, Regulation NMS, Regulation SHO, Rule 10b-5, market abuse frameworks, and equity trading/reporting requirements.

Salary

USD180000 - USD200000 per annum