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    Equities Compliance Director - New York, United States - jcw llc

    jcw llc
    jcw llc New York, United States

    2 weeks ago

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    Description


    Our client, a global global investment bank, is currently looking to expand their Compliance team with an Equities Advisory Compliance Director.


    This position will be key in providing regulatory advice and guidance to the equities trading desk and other stakeholders within the bank.

    This role will ensure that the firm's equities trading activities are conducted in compliance with applicable regulations, internal policies, and industry best practices.


    Key Responsibilities:

    Regulatory Compliance:


    Provide guidance and interpretation of securities regulations, such as the Securities Exchange Act, FINRA rules, MiFID II, and other relevant global regulations, to ensure compliance within the equities trading business.


    Advisory Services:


    Act as a trusted advisor to the equities trading desk, assisting in the development and implementation of compliance policies, procedures, and controls.


    Policy Development:
    Collaborate with the compliance team to develop, implement, and update compliance policies and procedures for equities trading.

    Monitoring and Surveillance:
    Work with the surveillance team to identify and mitigate compliance risks in the equities trading activities. Analyze surveillance reports and escalate issues as needed.


    Qualifications:
    Bachelor's degree required, JD preferred.

    f 8 years of experience in a compliance advisory role within an investment bank or financial services firm, with a focus on equities trading.

    In-depth knowledge of securities regulations, strong understanding of equities trading products and market structures.

    This role pays between $190,000 - $220,000 Base.

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