Equities Compliance Officer

A leading global financial services organization is seeking an experienced Equities Compliance Officer to join its Americas Risk & Compliance team.

This position will serve as a key advisor to trading, operations, and business stakeholders. It is an excellent opportunity for a compliance professional with strong equities market expertise who enjoys working closely with front-office teams, regulators, and senior leadership

Responsibilities

• Provide regulatory and compliance guidance to equities trading and operational teams to ensure adherence to applicable rules and regulations
• Support compliance oversight related to electronic and algorithmic trading activities
• Advise on regulations governing equity markets, including Reg ATS, Reg NMS, Market Access, Best Execution, Order Routing, and regulatory reporting requirements
• Manage and respond to regulatory examinations, inquiries, and investigations
• Ensure timely completion and submission of required regulatory filings and reporting obligations
• Partner closely with Legal, Risk, Operations, Technology, AML, Information Security, and other control functions
• Conduct compliance reviews, risk assessments, and monitoring activities to identify and remediate potential regulatory gaps
• Draft, revise, and maintain policies, procedures, and supervisory controls
• Develop and enhance compliance monitoring and supervisory reporting programs
• Analyze new and proposed regulations and assess potential business impact
• Provide compliance guidance on strategic initiatives, new products, and business expansion efforts
• Deliver regulatory and compliance training to employees and business stakeholders
• Identify regulatory risks and recommend practical risk mitigation solutions

Qualifications

• Bachelor's degree required
• 5+ years of broker-dealer compliance experience supporting equities trading businesses
• Strong knowledge of equity market structure and regulatory requirements
• In-depth understanding of Reg ATS, Reg NMS, CAT, TRF, and related regulatory reporting obligations
• Knowledge of options trading regulations, including QCC and QCT rules, preferred
• Series 7 license or ability to obtain upon hire
• Strong analytical, investigative, and problem-solving skills
• Excellent written and verbal communication abilities
• Ability to build effective relationships with front-office and control function stakeholders
• Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment
• Demonstrated ability to interpret complex regulatory requirements and translate them into practical business guidance

This position offers the opportunity to work closely with senior business leaders and play a critical role in supporting a sophisticated trading environment within a globally recognized financial services organization.