Director Equities & Options Compliance Advice

A leading wholesale bank is seeking an experienced Equities and Options Compliance Advisory professional to join its Global Markets Compliance team. This is a highly visible role supporting Equities businesses across Sales, Trading, Research and Electronic Trading, providing regulatory advice and compliance oversight in a fast-paced trading environment. The successful candidate will act as a trusted advisor to front-office stakeholders, partnering closely with business management, Legal, Risk and Control functions to ensure compliance with applicable regulatory requirements and internal policies. Key Responsibilities Provide day-to-day compliance advisory coverage to Equities Sales and Trading businesses. Advise front-office personnel on regulatory requirements, market conduct risks and compliance policies. Interpret and implement regulatory developments impacting Equities businesses, including SEC, FINRA, CFTC and exchange rules. Participate in new business initiatives, product launches and strategic projects, identifying and mitigating regulatory risks. Support investigations, regulatory inquiries and internal reviews. Assist in the development and delivery of compliance training programmes. Conduct thematic reviews and risk assessments across Equities trading activities. Partner with Surveillance, Compliance Testing and Financial Crimes teams to ensure a robust control framework. Build strong relationships with senior business stakeholders and serve as a key point of contact for compliance matters. Requirements Significant experience within a Compliance Advisory function at a large investment bank, wholesale bank or broker-dealer. Direct coverage of Equities Sales and Trading businesses is essential. Strong knowledge of U.S. securities regulations, market structure and market conduct rules. Experience advising senior trading and sales personnel on regulatory and compliance matters. Proven ability to manage multiple stakeholders in a dynamic, front-office environment. Excellent communication, influencing and problem-solving skills. Bachelor's degree required; relevant industry qualifications are advantageous. Preferred Background Current or very recent experience within the Compliance Advisory team of a major global bank Exposure to electronic trading, prime services and wider equity derivatives would be advantageous. #J-18808-Ljbffr Larson Maddox