What are the responsibilities and job description for the Trade Compliance Manager position at Atlas Search?
About the Opportunity
Our client, a leading capital markets institution recognized for its innovation and deep expertise in equity and fixed income markets, is seeking a VP or Director of Equities Supervision to oversee the supervisory framework for equities trading activities, including both cash and equity derivatives. This is a high-impact leadership position with broad visibility across the front office, focused on driving compliance with regulatory obligations and enhancing internal risk management processes. The role requires strong supervisory experience, sharp regulatory insight, and the ability to influence process improvement within a dynamic trading environment.
The annual base salary range is $175,000 to $225,000. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.
Job Responsibilities
- Oversee daily activities of equities trading desks to ensure adherence to FINRA, SEC, and exchange regulations for equities and equity derivatives
- Perform comprehensive reviews of trade activity, order handling, and client engagement to identify and remediate supervisory exceptions
- Collaborate with Compliance to design, maintain, and enhance Written Supervisory Procedures (WSPs) for equities operations
- Monitor supervisory certifications and escalation protocols, maintaining operational integrity across the platform
- Act as a regulatory subject matter resource, supporting responses to regulatory inquiries and examinations, especially regarding equities and research controls
- Ensure accurate, timely regulatory reporting related to equities and research (including CAT, Reg NMS, Reg SHO)
- Work closely with Compliance, Legal, Risk Management, and Operations to optimize supervisory tools and reporting for equitable trading
- Provide actionable insights on control gaps, operational risk mitigation, and process enhancement, escalating critical issues to senior management
- Stay current on regulatory changes and industry best practices, contributing to continuous improvement of supervisory controls
Job Requirements
- At least 6 years of experience in financial services with significant frontline supervision of equities and derivatives activity
- Strong understanding of equities and derivative products, trade processes, and the applicable regulatory landscape
- Proven track record of engaging with FINRA, SEC, and other regulators on equities supervision and compliance matters
- Hands-on experience with the FINRA 3110 Supervisory Framework and prior designation as a supervisory delegate for equities and equity derivatives
- In-depth knowledge of CAT reporting, Reg NMS, Reg SHO, and associated trading controls
- Exceptional communication skills, with the ability to articulate complex compliance concepts to internal and external stakeholders
- Bachelor’s degree in Finance, Economics, or a related field required
- Relevant FINRA principal licenses (such as Series 24, 57, 7) highly preferred
- Experience supporting Research supervisory controls is a plus
Salary : $175,000 - $225,000