Our client, a major global banking group, is looking to recruit a securities compliance professional (AVP/VP level) to work closely with the Head of Securities Compliance group in New York.
This role will provide compliance advisory and support to the Securities business and perform all other related compliance and risk management functions for a US registered broker-dealer offering equity research, trading, sales and execution services.
You will be working in small team of compliance professionals that advise and support the group's sales and trading businesses (including equity capital markets) to ensure compliance with applicable rules and firm policies as well as manage regulatory reporting and transactions (OATS/Reg NMS/Trade Reporting)
The ideal candidate will ideally:
- Have a broker-dealer compliance professional, preferably with experience in an advisory role, or with a securities regulator;
- Have strong knowledge of FINRA rules and federal securities laws applicable to equities;
- Experience with institutional equity sales and trading required, equity research and syndicate experience preferred;
You will need to possess a strong academic profile, excellent organizational & communication skills and proven experience working with executives globally at director level. This is a role which will offer you outstanding career progression and development. Compensation is competitive and commensurate with industry experience.
For more information, please contact Benjamin Ellison on 646 766 1212 or