Broker Dealer Compliance Advisory- Equities & Options

The Opportunity: This individual will serve as a trusted Compliance partner to the business. Responsibilities will include advising on day-to-day regulatory questions, evaluating potential compliance risks, reviewing new business initiatives, and helping maintain effective policies and supervisory processes. The position will also participate in broader regulatory and compliance projects, including responses to regulatory requests, reviews of existing controls and procedures, and implementation of changes resulting from new or evolving requirements. The successful candidate will collaborate extensively with colleagues across the business, Legal, Risk, Operations, and other control functions. Experience We're Seeking

• 8+ years of Compliance, Legal, regulatory, or comparable financial services experience
• Experience advising trading, markets, or other front-office businesses
• Strong knowledge of the U.S. financial-services regulatory environment
• Ability to interpret complex rules and provide clear, practical guidance to business stakeholders
• Experience reviewing policies, procedures, and supervisory controls
• Exposure to new-product or new-business reviews
• Strong judgment and ability to independently manage sensitive regulatory matters
• Bachelor's degree required; advanced degrees or professional qualifications are beneficial
• Excellent communication and relationship-management skills