What are the responsibilities and job description for the Compliance Officer - Equities position at Anonymous?
Leading investment firm is seeking an Equities Compliance Officer (Director level hire) to provide regulatory advisory support to its Equities Sales & Trading business.
Key responsibilities:
- Advise front-office stakeholders on regulatory matters and firm policies
- Oversee the equities compliance program
- Support new business initiatives, risk assessments, and control enhancements
- Manage regulatory inquiries, examinations, and policy development
Requirements:
- 8 years of securities compliance experience
- Equities Sales & Trading advisory experience
- Strong knowledge of SEC, FINRA, NYSE, NASDAQ, and CBOE regulations
For a confidential discussion, please apply with your resume.
Salary : $400,000 - $700,000