We are looking for an experienced compliance leader to guide the regulatory program for a market-making business based in New York, New York. This Long-term Contract position will play a central role in strengthening oversight across trading activity, supervisory practices, and reporting obligations while supporting business growth with sound compliance guidance. The ideal candidate brings deep broker-dealer expertise, strong knowledge of trading regulations, and the ability to advise senior stakeholders on complex compliance matters.
Responsibilities:
Direct the compliance function for the market-making business, establishing effective oversight across trading operations, surveillance activity, and regulatory reporting obligations.
Interpret and apply broker-dealer, exchange, and applicable industry regulations to ensure the business operates within required compliance standards.
Provide practical guidance on market-making activities, order handling practices, execution quality, trade reporting, and supervisory expectations.
Lead reviews, monitoring efforts, and investigations involving trading behavior, employee conduct, and potential regulatory concerns.
Coordinate responses to regulatory exams, information requests, filings, and corrective action plans to support timely and accurate resolution.
Advise stakeholders on controls related to electronic and algorithmic trading, including governance, escalation processes, and risk mitigation measures.
Work closely with Legal, Risk, Operations, Technology, and business leadership to maintain broad and consistent compliance coverage across the organization.
Oversee the development and maintenance of policies, procedures, risk assessments, training programs, and supervisory documentation.
Build, mentor, and lead a strong compliance team while communicating material risks, trends, and key issues to senior management.
