Equities Sales & Trading Compliance Advisory Vice President
Core
Provide compliance advisory support for Institutional Equity Sales and Trading, covering regulatory requirements, risk management, and firm policies for equities, exchange traded products, convertibles, and derivatives.
Role type
Senior IC compliance advisory vice president
Builds
Independent coverage of non-financial risks for the Institutional Securities Group
Domain
Financial services / Institutional Equities
Required skills
SEC regulations knowledge, FINRA rules expertise, Exchange rules knowledge, regulatory examination support, compliance manual creation, training delivery, risk assessment, trade data analysis
Preferred skills
Investment banking experience, cross-border transaction structuring, investor dispute resolution, regulatory relationship management
Technologies
SEC Consolidated Audit Trail, FINRA supervision tools, trading technology systems
Responsibilities
Advise traders and sales on regulatory requirements and firm policies; Review business and compliance processes; Assist in regulatory examinations and audits; Design and deliver compliance training; Monitor regulatory developments and trends; Interact with technology and risk management to ensure compliance.
Seniority
Senior, hands-on IC