Senior Compliance Officer
Larson Maddox
A global quant trading firm is looking for an experienced, Senior Compiance Officer to join their growing team. The SeniorCompliance Officer will provide real-time regulatory guidance and oversight to the firm's equities trading and sales teams, ensuring a strong culture of compliance across the firm. This role will require 5 days a week onsite in NYC. The Senior Compliance Officer ensures that business activities across the equities product spectrum comply with relevant regulatory requirements and internal policies. The position requires strong product knowledge, excellent communication skills, and the ability to translate regulatory expectations into practical and relevant guidance. Requirements 6+ years of relevant experience Strong understanding of equities products and market structure Knowledge of SEC and FINRA regulations, Regulation NMS, Regulation SHO, Rule 10b-5, market abuse frameworks, and equity trading/reporting requirements. #J-18808-Ljbffr Larson Maddox
Vacancy posted 4 days ago
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