Senior Equity Compliance Advisor, VP / Director

Full Time

International Banking Client

Office Status: Hybrid (2-3 days per week in office)


  • Provide real time advisory compliance support for the equity divisions of SG Americas Securities (“SGAS”), primarily focused in Equity Derivatives. Some support of Prime Brokerage and Clearing Services may be required.
  • Assist with matters related to the Firm’s various regulatory reporting requirements including (LOPR, OCEND, Portfolio Margin, CAT and Blue Sheets).
  • Communicate with colleagues globally on matters related to the Firm’s Equity Derivative activities and its U.S. regulatory obligations.
  • Work closely with IT personnel on the implementation of regulatory initiatives.
  • Train business line, support functions and compliance support staff on relevant rules and regulations.
  • Update Compliance policies and procedures to be current with rules, regulations and business model.
  • Assist in the response of regulatory inquiries and regulatory examinations.
  • Monitor business activities and engage in active dialog with business unit personnel regarding Compliance impacts of their activities.
  • Assist the Supervisory Control Group (“SCG”) in the design and maintenance of written supervisory procedures.
  • Communicate with traders and supervisors to assess risk and remediate issues.
  • Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations.
  • Provide update(s) to other support areas in the Firm on new or amended rules that may impact the equity divisions of SGAS.
  • Provide advisory guidance to SGUS support functions (e.g., ITEC, OPER, etc.) in order to ensure compliant functionality of front and back-office tools.
  • Serve as primary contact with other compliance functions in researching, resolving and advising as it relates to trade surveillance, audit or compliance testing matters.
  • Serve as the primary point of contact between compliance and the front office with respect to internal policies and processes as well as regulatory issues.
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