Director of Equities Compliance Advice
A leading wholesale banking institution is seeking a Director of Equities Compliance to provide senior‑level compliance advisory coverage to its equities sales and trading businesses. This is a high‑profile role supporting a broad equities platform, partnering closely with front‑office leadership, risk, legal, and governance teams to ensure the business operates in line with regulatory expectations, firm policies, and industry best practices.
The successful candidate will bring deep subject‑matter expertise across cash equities, electronic trading, and market‑making activities, and will play a key role in shaping and enhancing the firm's equities compliance framework.
Key Responsibilities
- Provide real‑time, risk‑based compliance advice to equities sales and trading desks, including cash equities, electronic trading platforms, and principal trading activities.
- Act as a trusted advisor to senior business stakeholders, balancing regulatory obligations with commercial objectives.
- Support the ongoing development, enhancement, and execution of the equities compliance program, ensuring alignment with regulatory requirements and supervisory expectations.
- Identify emerging regulatory risks and industry trends impacting the equities business and proactively advise on appropriate controls and mitigants.
- Draft, review, and maintain relevant policies, procedures, and written supervisory procedures (WSPs).
- Partner with governance, surveillance, and risk functions on matters including market abuse, trade reporting, and supervisory frameworks.
- Engage with regulators and support regulatory examinations, inquiries, audits, and internal reviews related to equities activities.
- Provide compliance training and guidance to front‑office and control partners as required.
- Contribute to strategic initiatives, new product reviews, and business change impacting the equities platform.
Qualifications & Experience
- Significant experience in equities compliance advisory within a large wholesale bank, broker‑dealer, or global markets institution.
- Strong technical knowledge of U.S. securities regulations applicable to equities businesses (SEC, FINRA), with broader global markets exposure viewed favorably.
- Demonstrated experience advising on electronic trading environments, market‑making, and principal risk activities.
- Proven ability to operate at a Director‑level, engaging credibly with senior front‑office and executive stakeholders.
- Excellent written and verbal communication skills, with the ability to deliver clear, pragmatic guidance.
- Prior people management or mentoring experience is preferred but not required.
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