Equity Compliance Advisory

Manhattan Permanent USD185,000 - USD245,000 per year
  • Opportunity to join a dynamic compliance department
  • Client will move quickly with qualified candidates

About Our Client

Our client is a Japan-based bank holding company that provides financial products and services for individuals and businesses.

Job Description


  • Serve as a subject matter expert on equities compliance matters, providing guidance to the business units and senior management.
  • Monitor and interpret regulatory developments related to equities trading, including but not limited to SEC, FINRA, and other relevant regulatory bodies.
  • Develop and implement compliance policies, procedures, and controls specific to equities trading activities, ensuring alignment with regulatory requirements and industry standards.
  • Conduct compliance risk assessments and reviews to identify areas of non-compliance or potential risk and recommend appropriate remedial actions.
  • Collaborate with the business units to provide compliance training and education programs on equities trading-related topics.
  • Stay abreast of market trends, emerging risks, and best practices in equities compliance, and proactively advise on potential impact and necessary actions.
  • Participate in regulatory examinations, audits, and inquiries, ensuring timely and accurate responses to requests for information.
  • Foster a culture of compliance and ethical behavior within the organization through effective communication and training initiatives.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant


  • Bachelor's Degree
  • 7+ years of Compliance Experience
  • Strong Knowledge of trading rules & regulations
  • Experience with ACT, CAT, and Trade Surveillance.

What's on Offer

Our client offers:

  • Competitive Base Salary
  • Comprehensive Benefits package
  • Hybrid Working Model
Josh Delgado
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Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
Contract Type
Consultant name
Josh Delgado
Job Reference