Sr. Compliance Manager – Equities & Capital Markets (CAT Reporting)
Core
Oversee regulatory compliance for equity sales, trading, and capital markets, focusing on trade reporting, surveillance, and policy development.
Role type
Senior Compliance Manager (Equities & Capital Markets)
Builds
Compliance programs, policies, and procedures for a broker-dealer
Domain
Financial Services / Capital Markets / Equities
Required skills
CAT reporting expertise, trade reporting, Rule 606, FINRA regulations, SEC regulations, regulatory inquiry response, audit support, policy development, cross-functional collaboration
Preferred skills
FINRA Series 7, FINRA Series 24, Rule 606 expertise
Technologies
None stated
Responsibilities
Oversee trade reporting and surveillance, ensure compliance with SEC and FINRA regulations, respond to regulatory inquiries and audits, collaborate with trading and risk teams, develop and test compliance policies, support branch office inspections and training
Seniority
Senior, hands-on IC