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Director Equities Compliance

  • NYC
  • Full Time

Apply for the Director Equities Compliance position

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Broker dealer located in Midtown Manhattan looking to bring on board a “Director Equities Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office / week).



• 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