Compliance Officer - Equities
Core
Provide real-time regulatory guidance and compliance oversight to the firm's equities trading and sales teams, ensuring business activities comply with relevant regulatory requirements and internal policies.
Role type
Senior IC compliance officer (equities trading)
Builds
Compliance oversight and regulatory advice for equities trading desks
Domain
Financial services / Equities trading / Regulatory compliance
Deliverable
client delivery
Required skills
Equities products knowledge, Market structure expertise, Regulatory frameworks knowledge, Risk-based compliance support, System and platform implementation support, Regulatory inquiry response
Preferred skills
Algorithmic trading understanding, Regulator interaction experience, Series 7/24 licenses
Responsibilities
Develop understanding of trading strategies and market microstructure, Act as day-to-day compliance contact, Collaborate to enhance processes, Advise on new business initiatives and regulatory considerations, Support system implementations, Prepare documentary support for regulators, Identify emerging market risks
Seniority
Senior, hands-on IC