Vice President, Equities Compliance

Vice President, Equities Compliance About the Company Renowned investment bank Industry Investment Banking Type Privately Held About the Role The Company is in search of a Vice President for its Equities Compliance division. The successful candidate will be a key member of the Trading and Surveillance team, responsible for reviewing surveillance reports, investigating potential rule or law violations, and providing essential compliance support to the trading businesses. This role demands a professional with a minimum of five years' experience in a regulatory or compliance setting, a strong knowledge of equities trading, surveillance procedures, and applicable rules and regulations. The Vice President will be expected to independently monitor trading behavior, conduct in-depth analyses of potential issues, and communicate findings effectively with staff at all levels. Applicants for the Vice President, Equities Compliance position at the company should possess superior communication, presentation, attention to detail, time management, and analytical skills. The role also requires a candidate with intellectual curiosity and a drive to excel, who can partner with IT and other business units to enhance surveillance reports and support management in strengthening regulatory controls. While not mandatory, legal training, direct regulatory experience, and a background in options markets are considered advantageous. The ideal candidate will be proactive, accountable, and able to work both independently and as part of a team to ensure the highest standards of compliance within the equities markets. Hiring Manager Title Head of Surveillance and Trading Compliance Travel Percent Less than 10% Functions Legal