VP Compliance

A global financial institution is seeking a Vice President to join its US Markets Compliance Advisory team. This role focuses on providing real-time compliance guidance to Equity Sales & Trading businesses, supporting the integration of a complex global equity platform into the U.S. entity and broader compliance framework. The ideal candidate will have deep expertise in OTC and exchange-traded equities, electronic trading, and regulatory advisory. This role will require 4 days a week in NYC.

Key Responsibilities:

• Provide strategic compliance advice on firm policies, regulatory requirements, and industry best practices.
• Oversee equity trading activities and support supervisory/control mechanisms.
• Draft, update, and implement relevant policies and procedures.
• Deliver regulatory and compliance training to front office and control personnel.
• Lead internal investigations, respond to regulatory inquiries, and coordinate audits.
• Engage with federal and state regulators and participate in industry working groups.
• Conduct compliance testing, monitoring, and risk assessments.
• Analyze new regulations and lead implementation efforts across business units.
• Develop proactive compliance strategies aligned with business objectives.

Qualifications:

• 6+ years of compliance experience, including securities advisory.
• Strong background in equity sales & trading, trading algorithms, ATSs, and market structure.
• Deep knowledge of FINRA, SEC, NYSE, NASDAQ, CBOE, and other relevant regulations.
• Excellent communication and decision-making skills under pressure.
• Proven ability to interact confidently with senior stakeholders.
• Familiarity with global booking models and technology infrastructure.