Our client, a top global boutique investment bank is hiring a Senior Compliance Officer - Equities in their New York City office.
They are seeking a senior, experienced compliance professional with a strong expertise in Equities advisory function.
- Execute compliance advisory to stakeholders to comply with regulations, laws & policies
- Work alongside CCO and Senior Compliance Officer with managing responsibilities such as investigations, exams, regulatory matters, etc.
- Provide compliance advisory support to traders and sales traders on regulatory rules: Reg NMS, Reg SHO, OATS, Rule 5320, trade reporting, Rule 605/606, riskless principal, etc.
- Handle monitoring and Testing of capital markers activities
- SIE, Series 7, 24 and 63 licenses (current or to be obtained within 180 days)
- Bachelor's Degree with 10+ years' Compliance experience with strong knowledge of equity market structure, trading, market making, CAT reporting, REG SHO, REG NMS & Payment for Order Flow abilities
- Strong leadership skills, solid communication strategies and ability to meet deadlines and provide innovation in role