Job Description

Job Description

Job Description

Key Responsibilities:

• Monitor equity trading activity to ensure compliance with SEC, FINRA, and global regulatory requirements.
• Review and investigate potential trade violations or unusual activity in real-time and post-trade surveillance.
• Act as a liaison between the trading desk and regulatory bodies, ensuring timely and accurate reporting.
• Develop, implement, and maintain policies and procedures to support equity trade compliance.
• Assist in the development and deployment of surveillance and monitoring tools specific to the equities business.
• Conduct periodic risk assessments and gap analyses related to equities compliance.
• Provide training and ongoing guidance to traders and front-office staff on relevant compliance topics.
• Support regulatory audits, inquiries, and internal reviews, ensuring accurate documentation and responses.
• Keep abreast of regulatory developments, industry trends, and best practices affecting equity trading.

Qualifications:

• Bachelors degree required; JD, MBA, or advanced degree in finance, law, or related field is a plus.
• 5+ years of experience in a compliance role within a trading or capital markets environment, ideally within equities.
• Deep knowledge of equity products and trading practices, including algorithmic trading and market making.
• Familiarity with regulatory frameworks such as SEC, FINRA, MiFID II, and other global standards.
• Proficient in using trade surveillance systems (e.g., SMARTS, Actimize, or similar).
• Strong written and verbal communication skills with the ability to interact effectively across all levels of the organization.
• Highly analytical, detail-oriented, and capable of managing multiple priorities under tight deadlines.

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