Broker Dealer Compliance Advisor

A leading financial services firm is seeking a Broker-Dealer Compliance Advisor with strong expertise in U.S. Broker-Dealer regulations, particularly Equities and Listed Options. This role will provide compliance guidance to business teams, assess regulatory risk, and support the development of policies and procedures.

Key Responsibilities

• Support the Head of U.S. Broker-Dealer Compliance.
• Provide day-to-day compliance advisory support to Front Office teams.
• Develop and enhance Policies, Procedures, and Written Supervisory Procedures (WSPs).
• Review new products, markets, and business initiatives for regulatory compliance.
• Partner with the business to meet regulatory and Compliance Calendar requirements.
• Ensure compliance with SEC, Client, and other U.S. Broker-Dealer regulations.

Qualifications

• 8+ years of experience in financial services compliance or legal roles.
• Strong knowledge of U.S. Broker-Dealer regulations.
• Experience with equities and listed options.
• Bachelor's degree in Finance, Economics, Business, or related field required; JD or advanced degree preferred.