Associate Director, Equities Compliance

Full Time



Job Responsibilities:

  • Advising business personnel on Firm policies and regulatory matters related to cash equities (including market making), electronic, listed and over the counter derivatives, and syndicate products and services.
  • Developing and implementing policies, procedures and controls which successfully mitigate key risk factors for all covered business lines and conduct related monitoring.
  • Proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives.
  • Assist with the development of surveillance and controls reasonably designed to detect and mitigate compliance issues.
  • Assist with the resolution of issues identified from surveillance and other oversight functions (i.e., Internal Audit)
    Investigate and assist with responses to regulatory inquiries and examinations
  • Special Projects (including but not limited to aspects of Regulatory Compliance Management implementation).

Job Requirements:

  • BA/BS, MA, or MS or equivalent with a detailed and thorough understanding of Capital Markets. Advanced degrees a plus. Minimum 3-6 years of capital markets desk advisory experience.
  • Proficient in Microsoft Word, Microsoft Office, Microsoft Excel, and PowerPoint.
  • Adaptable to a dynamic work environment with multiple priorities and strict timelines
  • Organize workload and prioritize for responsiveness and efficiency both individually and for the team
  • Collaborate and manage medium to large projects across various teams
  • Work independently and adapt to changing and competing priorities
  • Strong written and oral communication skills.


  • Experience in compliance, consulting, operational risk, IT systems security, business process management, or financial services.
  • Series 7 & 63 licensed
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