Senior Compliance Associate, International Sales
Senior Compliance Associate, International Sales
A global financial institution is seeking a Senior Compliance Associate to support its International Sales and Sales Trading functions. This role focuses on providing day‑to‑day compliance coverage for cross‑border equity activity, including review of international offerings, oversight of communications with U.S. investors, and guidance on regulatory requirements. The position calls for strong analytical skills, sound judgment, and the ability to interpret and apply U.S. securities regulations in a fast‑paced environment.
This opportunity is based in New York City and follows a hybrid schedule.
Key Responsibilities
Evaluate marketing materials and other communications directed to U.S. investors related to Equity Capital Markets and international sales activity, ensuring alignment with SEC and FINRA requirements.
Review sales and trading activity conducted under SEC Rule 15a‑6 arrangements with foreign affiliates.
Coordinate with supervisory teams and global Control Room personnel on wall‑crossing requests and related recordkeeping.
Provide ongoing regulatory guidance to U.S. and international sales and trading teams.
Develop and deliver targeted compliance training on new regulations, policy changes, and emerging risks.
Collaborate with technology and business partners to enhance and automate compliance processes.
Support management in implementing action plans to strengthen regulatory controls.
Present compliance updates and insights during regular meetings with Sales & Trading personnel.
Communicate clearly with stakeholders across all levels to identify and address potential compliance issues.
Required Qualifications
Bachelor's degree
Minimum of four years of experience in a compliance or regulatory role
Experience working with Sales & Trading teams within a U.S. broker‑dealer
Strong understanding of regulatory requirements related to communications and marketing materials
Preferred Qualifications
Legal training or direct regulatory experience
Broader familiarity with broker‑dealer compliance frameworks
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