A hybrid-based, large financial services organization based in NYC has just opened up a position on a growing team seeking to hire a Equity Capital Markets Senior Compliance Manager. The firm is looking to further develop its Finance team with an experienced Compliance professional.
This candidate should be able to identify and interpret SEC, FINRA and self-regulatory organization rules. The ideal candidate should have a strong understanding of the equity capital market rules and regulations.
Key Requirements:
-5+ years of relevant experience
-Strong understanding rules and regulations such as
- SEC Rule 613: Consolidated Audit Trail (CAT)
- FINRA Rule 6460
- FINRA Rule 2360 Options Trading
-Series 7 and 24 licenses prefered
-Bachelor's degree in Finance, Accounting or other related field
