Our client, a global investment bank, is seeking a Compliance professional with strong broker-dealer experience supporting Sales & Trading activities. This role will focus on risk and control oversight, ongoing monitoring, and compliance testing across equity and fixed income businesses, with exposure to investment banking and research-related regulatory requirements.
Responsibilities include:
Execute compliance testing as part of the firm’s ongoing monitoring program to assess adherence to federal regulations and internal policies/controls.
Support a risk and controls framework across Sales & Trading, helping identify, evaluate, and mitigate compliance risks.
Review and interpret SEC and FINRA rules and guidance impacting broker-dealers.
Monitor regulatory developments and assess applicability to the business, particularly in investment banking, equity and fixed income sales & trading, and research.
Partner with business stakeholders to strengthen supervisory controls and ensure appropriate escalation and documentation of issues.
Requirements:
At least 5+ years of Compliance experience within a broker-dealer and/or investment bank, with direct support of Sales & Trading activities (required).
Hands-on experience performing compliance testing/monitoring within an established compliance program.
Strong knowledge of broker-dealer regulatory requirements, including SEC/FINRA rules, and related risks across Sales & Trading and investment banking.
Ability to evaluate controls and provide practical guidance in a fast-paced, front-office environment.
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