Director, Equities Compliance

Job Description

This senior advisory position supports an equities sales and trading platform across cash equities, high-touch execution, principal trading, market making, listed and over-the-counter products, and electronic trading channels. The Director will deliver practical, real-time guidance to business leaders while strengthening the compliance framework, supervisory controls, governance, and escalation processes that support these activities.

The role requires sound judgment, strong knowledge of U.S. securities regulation and market structure, and the ability to translate complex requirements into workable business solutions. The successful candidate will anticipate emerging risks, challenge existing practices where appropriate, and partner across legal, risk, operations, technology, surveillance, audit, and front-office teams.

Key Responsibilities

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• Act as a senior compliance partner to equities sales and trading personnel, providing timely guidance on regulatory obligations, internal standards, and evolving market practices.
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• Maintain oversight of compliance risks arising from cash equities, options, principal and market-making activity, high-touch execution, electronic platforms, algorithms, alternative trading systems, and related order-routing arrangements.
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• Evaluate proposed products, trading strategies, systems, booking models, and business changes; identify regulatory implications and establish appropriate conditions, controls, and escalation protocols.
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• Monitor rulemaking, enforcement activity, and market-structure developments; assess their business impact and lead implementation of required program changes.
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• Design, enhance, and document supervisory controls, written procedures, governance routines, and management information for covered activities.
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• Conduct risk assessments, thematic reviews, monitoring, and control testing to identify gaps, determine root causes, and track remediation through completion.
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• Partner with surveillance, technology, operations, legal, risk, and business teams to strengthen controls for electronic and automated trading, including pre-trade safeguards, post-trade review, system changes, and incident escalation.
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• Prepare clear reporting and recommendations for senior management, committees, and other governance forums.
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• Develop and deliver targeted training that reinforces regulatory expectations, individual accountability, and effective escalation.
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• Coordinate responses to examinations, audits, investigations, information requests, and inquiries from regulators and self-regulatory organizations.
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• Support or lead fact-finding reviews involving potential policy breaches, control failures, or trading-related concerns.
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• Manage multiple priorities and longer-term program initiatives, and provide direction to compliance professionals or project teams where assigned.
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Qualifications

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• Bachelor’s degree or an equivalent combination of education and progressively responsible experience; a law degree is advantageous.
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• At least eight years of relevant securities compliance, regulatory, or legal advisory experience, including substantial direct support of an equities sales and trading business.
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• Demonstrated knowledge of cash and high-touch equities, principal trading, market making, listed and over-the-counter products, and equity options.
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• Experience advising electronic trading environments; familiarity with trading algorithms, alternative trading systems, direct market access, order routing, and U.S. equity market structure is strongly preferred.
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• Strong command of applicable federal securities laws and the rules and expectations of U.S. securities regulators, prudential authorities, and relevant exchanges and self-regulatory organizations.
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• Ability to interpret complex requirements, assess business impact, and make well-reasoned decisions in a fast-moving, high-pressure setting.
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• Working knowledge of technology infrastructure, surveillance, supervisory frameworks, and global booking or operating models.
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• Executive-level communication and influencing skills, with the confidence to challenge constructively and explain difficult decisions to senior stakeholders.
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• Strong organization and execution skills, including the ability to balance urgent advisory demands with multiple projects and longer-range priorities.
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• Collaborative mindset and proven effectiveness in a global, cross-functional environment.
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