Vice President, Equity Sales & Trading Compliance Officer

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

Salary: $160,000 – $200,000

Responsibilities:

• Provide Compliance support for Equity Sales & Trading, as well as support functions: IT, Risk, Operations, Controllers, Finance.
• Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory guidance and rules.
• Communicate with traders, sales traders, salespersons, and supervisors to assess risk and remediate issues.
• Assist in the design and maintenance of compliance manuals, notices and written supervisory procedures.
• Assist in regulatory reviews, including inquiries, audits, and exams.
• Design and deliver applicable training for business unit personnel.
• Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations.
• Interact with technology support and risk management to ensure technology and business practices remain compliant with Firm policies and industry requirements.