Equity Derivatives Compliance Officer

Investment Banking Equity Derivatives Compliance Officer

Role:

• Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures, Capital Markets Compliance, Broker-Dealer Compliance, Front Office Advisory
• Regulatory Expertise (SEC, FINRA & Broker-Dealer Rules) : understanding of SEC, FINRA, and SRO regulations
• Stakeholder Management & Risk Advisory
• 5+ years of experience supporting Equities, Equity Derivatives, and Futures businesses within a broker-dealer or investment banking environment, possessing strong SEC/FINRA regulatory expertise
• Excellent stakeholder management skills, and a proven ability to provide practical compliance guidance to Front Office teams and senior management.