Director of Employee Trading

We are currently partnering with a well-established global financial institution in Midtown NYC to support their search for a Global Employee Trading Compliance Lead. This hybrid role sits within the Compliance organization and is responsible for overseeing and enhancing the firm’s global Employee Trading Compliance program across both bank and broker-dealer businesses.

The role will focus on leading the strategy, governance, and continuous improvement of employee trading and insider dealing controls, including ownership of policies related to personal trading, restricted trading windows, and information barriers. This individual will provide daily advisory support to business lines, work closely with Compliance stakeholders and front office leadership, and ensure policies remain aligned with evolving regulatory expectations.

Key responsibilities include managing a team responsible for personal trading monitoring and surveillance, overseeing compliance testing and regulatory examinations, maintaining vendor relationships supporting the program, and driving policy enhancements in partnership with business and supervisory groups. The position will also lead training initiatives related to employee trading policies, monitor regulatory developments, and ensure effective risk management across the program.

This is a highly visible leadership role offering significant interaction with senior management, regulators, and global stakeholders while contributing to a strong and evolving compliance framework.

Overview:

• Lead and develop team members, including hiring, performance management, and compensation decisions.
• Provide daily compliance advisory support and escalate issues to senior management as needed.
• Enhance and maintain compliance policies in collaboration with business and compliance stakeholders.
• Oversee employee trading policies, surveillance, vendor relationships, and related training programs.
• Act as primary contact for compliance testing, audits, and regulatory examinations.
• Monitor regulatory developments and implement actions to maintain ongoing compliance.