Equities & Options Broker-Dealer Compliance Advisor
Chicago Financial Search, Inc.
Equities & Options Broker-Dealer Compliance Advisor
Chicago - Onsite
About The Role:
We are seeking a Surveillance Compliance Officer for our New York office, focused on trade and communications surveillance across multiple asset classes, exchanges, platforms, and trading venues, with exposure to broader compliance activities.
What You’ll Do:
- Support the Head of U.S. Broker-Dealer Compliance.
- Provide day-to-day compliance advisory support to Front Office teams.
- Draft, review, and maintain U.S. Broker-Dealer Policies, Procedures, and WSPs.
- Review new products, markets, and business initiatives for regulatory compliance.
- Coordinate Compliance Calendar requirements and deadlines.
- Ensure compliance with SEC, FINRA, and applicable regulatory requirements.
- Follow operational risk, internal policies, and Code of Conduct requirements.
- Escalate policy breaches and risk events promptly.
- Support risk management processes and compliance initiatives.
What We’re Looking For:
- 8+ years of financial services experience in Legal or Compliance.
- Bachelor’s degree in Finance, Economics, Business, or related field required; JD/graduate degree preferred.
- Strong knowledge of U.S. Broker-Dealer regulations and equity options.
- Prior financial services compliance experience required.
- Experience working in regulated, matrixed environments.
- Strong communication, organization, and prioritization skills.
- Curious, resilient, adaptable, and self-motivated.
- Collaborative team player with strong judgment and integrity.
- Strategic thinker with the ability to anticipate risks and challenges.
Equities & Options Broker-Dealer Compliance Advisor
Chicago - Onsite
About The Role:
We are seeking a Surveillance Compliance Officer for our New York office, focused on trade and communications surveillance across multiple asset classes, exchanges, platforms, and trading venues, with exposure to broader compliance activities.
What You’ll Do:
- Support the Head of U.S. Broker-Dealer Compliance.
- Provide day-to-day compliance advisory support to Front Office teams.
- Draft, review, and maintain U.S. Broker-Dealer Policies, Procedures, and WSPs.
- Review new products, markets, and business initiatives for regulatory compliance.
- Coordinate Compliance Calendar requirements and deadlines.
- Ensure compliance with SEC, FINRA, and applicable regulatory requirements.
- Follow operational risk, internal policies, and Code of Conduct requirements.
- Escalate policy breaches and risk events promptly.
- Support risk management processes and compliance initiatives.
What We’re Looking For:
- 8+ years of financial services experience in Legal or Compliance.
- Bachelor’s degree in Finance, Economics, Business, or related field required; JD/graduate degree preferred.
- Strong knowledge of U.S. Broker-Dealer regulations and equity options.
- Prior financial services compliance experience required.
- Experience working in regulated, matrixed environments.
- Strong communication, organization, and prioritization skills.
- Curious, resilient, adaptable, and self-motivated.
- Collaborative team player with strong judgment and integrity.
- Strategic thinker with the ability to anticipate risks and challenges.
OOJ-1491G
OOJ-1491G
Vacancy posted 14 days ago
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