Compliance Specialist

Director, Compliance

A global financial institution with an established U.S. broker-dealer platform is seeking a Director of Compliance to join its New York team. This individual will play a leadership role across the firm’s regulatory and operational compliance framework, partnering closely with senior stakeholders, trading desks, and business supervisors in a fast-paced environment.

The role offers broad exposure across broker-dealer compliance, regulatory oversight, supervisory controls, trade reporting, and strategic business initiatives. The team is looking for someone proactive, hands-on, and comfortable operating in a complex regulatory environment with evolving requirements.

Responsibilities

• Lead regulatory examinations, inquiries, and ongoing engagement with agencies including FINRA, SEC, and exchange regulators

• Oversee adherence to broker-dealer regulatory requirements across multiple business lines

• Maintain and enhance supervisory and compliance frameworks under FINRA Rules 3110 and 3120

• Provide oversight of trade reporting obligations including TRACE, CAT/CAIS, and Reg SHO-related requirements

• Partner with trading and business teams on pre-trade compliance monitoring, exception management, and regulatory guidance

• Advise internal stakeholders on new products, trading strategies, and market structure developments

• Assist with the development and maintenance of compliance policies, procedures, and controls

• Conduct regulatory research and provide guidance on evolving SEC and FINRA requirements

• Lead issue management initiatives, root-cause analysis, and remediation efforts

• Support broader compliance projects tied to business growth and operational enhancements

Qualifications

• 10 years of broker-dealer compliance experience within financial services

• Strong working knowledge of SEC, FINRA, and broker-dealer regulatory frameworks

• Experience managing regulatory exams and interacting directly with regulators

• Background supporting trading businesses and capital markets environments

• Fixed income compliance experience is highly preferred

• Experience building or enhancing regulatory/compliance programs is a plus

• Strong communication, organizational, and stakeholder management skills

• Ability to manage multiple priorities in a deadline-driven environment

• Series 7 or Series 99 required