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Equities Markets Compliance Officer - VP

Equities Markets Compliance Officer - VP

Job Description

This Candidate will have, as a primary responsibility, Compliance oversight of Domestic and International Equities Trading involving ETFs, Program Trading, Security Based Swaps and other products.  This person will also partner with colleagues responsible for Cash Sales & Trading, Derivatives and Structured Products and Equity Capital Markets in addition to coordinating with colleagues of foreign affiliates on cross-border initiatives/activities.

This Candidate should have a strong working knowledge of the US equity trading markets, including the relevant current and proposed industry and regulatory developments.  Knowledge of the US rules governing Equity Trading and other key rules and regulations (e.g., The Market Access Rule, Reg SHO, Rule 201, Reg NMS, FINRA Rule 5270, FINRA Trade Reporting Rules, etc..) is essential.

Responsibilities will involve all aspects of compliance support, including advising and providing guidance to the Equities Trading Platform of a sophisticated full service broker/dealer oriented toward Institutional domestic and international clients.   Additional responsibilities will include coordinating with foreign affiliates on cross-border trading initiatives and activities.

The candidate will also:

  • Assess regulatory/compliance controls related to areas of coverage.  This would include providing clear and understandable advice and guidance to interested parties, and drafting and delivering Compliance training on these topics.
  • Partner with Trading and IT to further develop and enhance the governance structure and risk controls of the Equities Trading Platform including but not limited to protocols for system development and testing. 
  • Analyze proposed and new rules in addition to market and internal developments provide advice and guidance, as may be required.  Additionally, play an advocacy role representing the Firm in industry efforts (e.g., SIFMA, FIF, etc.) as they pertain to equities trading and related developments.
  • Develop and enhance Compliance policies and procedures and coordinate with global colleagues in developing global standards for cross-border trading.
  • Assist in the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required.
  • Provide guidance on the Firm’s surveillance program for equities trading systems and trade reporting.

Knowledge of the rules and regulations governing cross-border dealings with Canada and the Canadian regulatory structure is a strong plus.

Knowledge of FINRA Rules related to OATS and TRF Reporting is a plus.

In addition to the above, responsibilities include:

  • Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities and working with supervisors to implement any required changes to current policy / practice.
  • Drafting and updating Compliance policies and procedures.
  • Participating in internal investigations, assisting in responding to regulatory inquiries, and coordinating internal and external audits and inspections.
  • Interacting with regulatory agencies and exchanges.
  • Performing periodic risk assessments of the business.
  • Providing regulatory/compliance training as needed.


Job Requirements


  • Bachelors Degree required; JD or MBA a plus but not required;


  • Minimum of 3 years of relevant compliance experience, preferably at a major national or global securities firm or regulator;
  • Experience in providing regulatory or compliance advice in connection with equity trading markets is essential;
  • Excellent oral and written communication skills;
  • Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment;
  • Ability to project confidence and professionalism in dealings with senior business personnel;
  • Ability to influence and demonstrate confidence when interfacing with salespersons and traders;
  • Intuitive, energetic, and self motivated;
  • Ability to effectively collaborate with multiple stakeholders including Legal, Internal Audit, Risk Management and other internal business partners;

Job Snapshot

Employment Type Full-Time
Job Type Banking
Education Graduate Degree
Experience At least 3 year(s)
Manages Others Not Specified
Relocation Yes
Industry Banking - Financial Services
Required Travel Not Specified
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Equities Markets Compliance Officer - VP

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