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.
