Senior Equities Compliance Advisor
A leading global broker‑dealer is seeking a seasoned Institutional Equities Compliance Advisor to join its high‑impact Equities Advisory team. This is a critical hire supporting a fast‑growing Equities platform, including Cash Equities, Equity Derivatives, Electronic/Algorithmic Trading, and Market Access.
In this role, you will serve as a trusted advisor to senior business leaders, ensuring that trading activity complies with SEC, FINRA, and global regulatory requirements. You'll partner closely with Sales & Trading, Electronic Trading, Technology, and Control partners to proactively identify risks and drive a strong culture of compliance.
Key Responsibilities
- Provide real‑time advisory to Equities businesses across cash, derivatives, electronic/algorithmic trading, and program trading.
- Advise on regulatory requirements including Reg NMS, Reg SHO, Reg M, Market Access Rule 15c3‑5, Reg ATS, CAT reporting, Best Execution, and relevant FINRA/SEC obligations.
- Partner with front‑office leadership to assess new products, trading strategies, platform enhancements, and venue connectivity.
- Support regulatory inquiries, exams, and audits by coordinating timely and accurate responses.
- Review and enhance policies, procedures, written supervisory procedures (WSPs), and control frameworks supporting the Equities business.
- Collaborate with Surveillance, Technology, and Risk teams to evaluate and enhance monitoring tools covering sales & trading, market abuse, and operational risks.
- Deliver periodic training to Sales & Trading desks on regulatory developments and compliance expectations.
- Escalate issues, emerging risks, and potential regulatory gaps to senior Compliance leadership.
Qualifications
- 5-10+ years of experience in Equities Compliance, Regulatory Advisory, Surveillance, or a related control function.
- Strong understanding of U.S. equities market structure, trading rules, and regulatory frameworks.
- Experience supporting Equities Sales & Trading, Equity Derivatives, or Electronic Trading businesses.
- Ability to interpret, apply, and communicate complex regulations to business stakeholders at all levels.
- Demonstrated experience interacting with regulators such as SEC, FINRA, and SROs.
- Excellent communication, analytical, and problem‑solving skills.
- Strong judgment, a proactive mindset, and the ability to navigate fast‑paced, time‑sensitive situations.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.