Role details

Compliance Officer Equities

New York   •  Permanent

Bullet points

  • Compliance Officer Equities
  • Series 7 and 63 Required

About Our Client

Global Broker Dealer with office located in Manhattan.

Job Description

- Providing on-going advisory, training and monitoring activities in support of equity capital markets, equity sales and trading and equity research coverage/production;

- Extensive knowledge of SRO and SEC rules and regulations relating to equity sales and trading, equity capital markets and research production and distribution;

- Assisting business lines with managing required supervision structure and process through the planning and coordinating of training plans and compliance alerts as needed;

- Building and maintaining strong relationships with front office personnel and working proactively with senior business management to maintain, enhance, develop relevant compliance-related policies and procedures;

- Managing reputational risk for each business line and functioning as an escalation point for complex compliance issues and conflicts of interest.

The Successful Applicant

- Bachelor's Degree required, MBA and/or JD helpful.

- Series 7, 63 required, Series 24 helpful but not required. Additional license exams may be required later on as needed.

- Proven analytical skills, understanding and demonstrated product knowledge of Broker-Dealer,

Equity Sales & Trading, Equity Capital Markets (ECM) & Research Coverage and Production practices.

- Proven ability to multi-task, prioritize and organize time effectively in a fast-paced and constantly changing environment, driving projects to completion with minimal supervision.

What's on Offer


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