Senior Vice President

Equities Compliance Advisory

Financial Services

New York - Hybrid

Responsibilities:

• Act as a trusted compliance advisor to Equities business stakeholders, providing proactive guidance on regulatory obligations, conduct risks, and compliance matters across cash equities and related products.
• Interpret and communicate the impact of evolving regulatory requirements, market structure developments, and industry best practices on business activities.
• Lead compliance involvement in business-led initiatives, regulatory change programmes, and risk assessments, providing effective challenge and oversight where required.
• Partner with business teams on new product approvals, trading activities, and strategic initiatives, ensuring robust compliance frameworks and controls are embedded from inception.

Requirements:

• Significant Compliance Advisory experience within a global investment bank or broker-dealer, with extensive knowledge of equities businesses, including cash equities, electronic trading, prime brokerage, equity derivatives, and related market activities.
• Strong understanding of applicable U.S. securities laws and regulations, including SEC, FINRA, NYSE, and other exchange requirements, with the ability to assess the impact of regulatory developments on business activities.
• Demonstrated ability to interpret complex regulatory requirements and provide clear, practical, and risk-based compliance advice to senior business stakeholders, trading desks, sales teams, and management.
• Proven experience advising on market conduct, information barriers, conflicts of interest, communications surveillance, employee trading, and other key compliance risks associated with equities businesses.

If this sounds like you, please apply or send your resume to sam.vale@blackswangroup.com.

Please note the base salary range for this role is $175k-$230k, dependent on candidate experience and skillset.