Director, Equities Compliance
About The Position
Position Summary The candidate must possess extensive compliance advisory experience supporting equities sales and trading businesses, with a strong background in Cash and High‑Touch equities, with deep expertise in principal trading and market‑making activities, as well as OTC and exchange‑traded equities. In addition, the role requires demonstrated experience advising on electronic sales and trading platforms, with an understanding of the unique regulatory and supervisory considerations applicable to automated and electronic trading environments, in addition to high touch trading. The role will focus on strengthening and enhancing the equities compliance program, ensuring alignment with applicable regulatory requirements, supervisory expectations, and industry best practices. The successful candidate will provide real‑time, risk‑focused compliance guidance to the business, with an emphasis on proactively identifying issues, uplifting controls and governance, and delivering practical solutions that appropriately balance regulatory obligations, firm risk, and evolving regulatory expectations. General Job Description: The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk. Depth & Scope Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability. Position deals with senior/executive management. Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information. Focuses on longer-range planning for functional area (e.g. 12 months or greater). Manages and prioritizes multiple projects at a given time.
Requirements
- Approximately 8+ years of securities advisory experience. Knowledge of trading algorithms, alternative trading systems and market structure preferred
- Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Business
- Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, OCC, Exchange Level SROs including NYSE, NASDAQ & CBOE.
- 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.
- Strong knowledge of technology infrastructure and global booking models
- Ability to work on multiple projects in a fast paced environment
- Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally;
- Bachelors degree or progressive work experience
- 7-10 years related experience
Nice To Haves
- JD a plus
Responsibilities
- Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
- Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
- Maintain and Oversee the Firm’s Equity & Options Trading activities
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Assist the business on drafting, updating, and implement relevant policies and procedures.
- Provide regulatory/compliance training.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with federal and state regulators
- Perform testing and monitoring of compliance with firm policies for covered business areas
- Conduct compliance risk assessments to ensure effective business control framework
- Analyze new regulations and conduct business-based analysis and execute requite implementation.
- Provide ongoing reporting to senior management
- Develop and deliver proactive strategies and tactics that support compliance/business objectives
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
