Equities Compliance Director
Anonymous
Leading investment firm is seeking an Equities Compliance Officer (Director level hire) to provide regulatory advisory support to its Equities Sales & Trading business. Key responsibilities: Advise front-office stakeholders on regulatory matters and firm policies Oversee the equities compliance program Support new business initiatives, risk assessments, and control enhancements Manage regulatory inquiries, examinations, and policy development Requirements: 8+ years of securities compliance experience Equities Sales & Trading advisory experience Strong knowledge of SEC, FINRA, NYSE, NASDAQ, and CBOE regulations #J-18808-Ljbffr Anonymous
Vacancy posted 5 days ago
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