Senior Compliance Officer

Senior Compliance Officer - Equity Research Compliance (Control Room)

Location: New York, NY
Duration: 3-Month W2 Contract
Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may be considered for the right candidate.
Pay Rate: $88.65/hour

Position Overview

We are seeking an experienced Senior Compliance Officer to support the firm's Control Room and Equity Research Compliance function. This role will serve as the subject matter expert on information barriers and provide compliance guidance to Equity Research, Investment Banking, Legal, and other business partners. The ideal candidate has extensive knowledge of securities regulations, market abuse controls, and equity research compliance within a global financial institution.

Key Responsibilities

• Serve as the primary compliance subject matter expert on Information Barriers and Control Room matters.
• Partner with business leaders, Legal, and Risk teams to maintain an effective compliance program.
• Advise stakeholders on:
  • Information Barriers
  • Wall-crossing procedures
  • Material Non-Public Information (MNPI)
  • Sensitive information and "need-to-know" policies
• Provide compliance guidance to Equity Research regarding the use of industry experts and expert networks.
• Coordinate research vettings with Investment Banking, including wall crossings and chaperoning meetings between Investment Banking and Equity Research.
• Review and approve equity research publications as required.
• Respond to regulatory examinations and Internal Audit inquiries.
• Assist with compliance projects and strategic initiatives assigned by senior management.
• Draft, maintain, and enhance compliance policies and procedures.
• Deliver compliance training for Equity Research employees during onboarding, annual training, and ad hoc sessions.
• Maintain the firm's Global Watch List and Restricted List, coordinating updates with Investment Banking teams.
• Monitor regulatory developments and ensure compliance with evolving equity research rules and regulations.

Required Qualifications

• Minimum 10 years of compliance experience within the financial services industry.
• Strong background supporting Equity Research Compliance and/or Control Room functions.
• Extensive knowledge of:
  • Material Non-Public Information (MNPI)
  • Information Barriers
  • Wall Crossing procedures
  • Watch Lists and Restricted Lists
• In-depth understanding of applicable regulations, including:
  • SEC Section 15(g) of the Securities Exchange Act of 1934
  • FINRA Rules 2241 and 2242
  • Regulation M
  • Safe Harbor provisions
  • Global Research Settlement requirements
• Ability to interpret and apply SEC, FINRA, and other regulatory requirements.
• Excellent analytical and problem-solving skills with sound professional judgment.
• Strong verbal and written communication skills.
• Proven ability to build relationships across Compliance, Legal, Investment Banking, and business stakeholders.
• Comfortable working in a fast-paced environment while managing multiple priorities.
• Flexible to support business needs, including occasional non-traditional hours.

Ideal Candidate

This opportunity is ideal for a senior compliance professional with deep expertise in Equity Research Compliance , Control Room operations , and Information Barrier governance who can confidently advise business partners, manage regulatory risk, and support a highly regulated capital markets environment.

Equal Employment Opportunity

Pride Global and its affiliates are equal opportunity employers and consider all qualified applicants without regard to race, color, religion, national origin, ancestry, disability, medical condition, genetic information, marital status, sex, gender identity, gender expression, age, sexual orientation, veteran status, military status, or any other protected characteristic under applicable federal, state, or local law.

Fair Chance Employment

Pride Global and its affiliates comply with all applicable Fair Chance laws, including the California Fair Chance Act, and will consider qualified applicants with criminal histories in accordance with applicable law.

Accommodations

Reasonable accommodations are available throughout the hiring process for qualified individuals with disabilities. Applicants requiring accommodation are encouraged to request assistance during the application or interview process.