phaxisNew York, NY
Broker Dealer Compliance Advisor
Broker Dealer Compliance Advisor
Broker Dealer Compliance Advisor
phaxisNew York, NY
2 days ago
Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment Activities
Apply for this role (opens in a new tab)Job Description:
Job Description A leading financial services firm is seeking aBroker-Dealer Compliance Advisorwith strong expertise in U.S. Broker-Dealer regulations, particularlyEquities and Listed Options. This role will provide compliance guidance to business teams, assess regulatory risk, and support the development of policies and procedures.
Key Responsibilities:
Support the Head of U.S. Broker-Dealer Compliance.
Provide day-to-day compliance advisory support to Front Office teams.
Develop and enhancePolicies, Procedures, and Written Supervisory Procedures (WSPs).
Review new products, markets, and business initiatives for regulatory compliance.
Partner with the business to meet regulatory and Compliance Calendar requirements.
Ensure compliance withSEC, Client, and other U.S. Broker-Dealer regulations.
Qualifications:
8 years of experience in financial services compliance or legal roles.
Strong knowledge ofU.S. Broker-Dealer regulations.
Experience withequities and listed options.
Bachelor's degree in Finance, Economics, Business, or related field required; JD or advanced degree preferred.
Also on the board Same function, level within a rung
Level
Senior
Location
New York, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago