Broker Dealer Compliance Advisory- Equities & Options We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses. The role will work closely with business professionals and Compliance leadership, providing practical guidance on regulatory matters and helping the organization navigate new initiatives and an evolving regulatory environment.
The Opportunity:
This individual will serve as a trusted Compliance partner to the business. Responsibilities will include advising on day-to-day regulatory questions, evaluating potential compliance risks, reviewing new business initiatives, and helping maintain effective policies and supervisory processes. The position will also participate in broader regulatory and compliance projects, including responses to regulatory requests, reviews of existing controls and procedures, and implementation of changes resulting from new or evolving requirements. The successful candidate will collaborate extensively with colleagues across the business, Legal, Risk, Operations, and other control functions. Experience We're Seeking
- 8+ years of Compliance, Legal, regulatory, or comparable financial services experience
- Experience advising trading, markets, or other front-office businesses
- Strong knowledge of the U.S. financial-services regulatory environment
- Ability to interpret complex rules and provide clear, practical guidance to business stakeholders
- Experience reviewing policies, procedures, and supervisory controls
- Exposure to new-product or new-business reviews
- Strong judgment and ability to independently manage sensitive regulatory matters
- Bachelor's degree required; advanced degrees or professional qualifications are beneficial
- Excellent communication and relationship-management skills
This opportunity is best suited for a commercially minded Compliance professional who enjoys being close to the business and can balance regulatory requirements with practical decision-making.
For additional information, please reach out directly for a confidential discussion.
