A financial services firm is looking to bring on a Trade Compliance Officer to join their growing team!

Direct Hire - Hybrid (3 days in Midtown) - 140-180k base

Requirements:

• 4 years of experience in public equities trading compliance
• Series 7 & 24 license required
• Strong understanding of Client and SEC rules and regulations pertaining to public equities trading
• Experience in developing and implementing compliance policies and procedures for public equities trading

Responsibilities:

• Oversee trading activities to ensure adherence to applicable regulations, laws, and company policies.
• Collaborate with traders to confirm that all trades comply with regulatory standards and internal guidelines.
• Develop and implement policies and procedures to maintain regulatory compliance.
• Provide training and guidance to internal stakeholders on regulatory standards and company policies.
• Conduct compliance risk assessments and internal policy audits.
• Investigate and resolve compliance issues, escalating when necessary.
• Stay informed about changes in regulatory requirements and update internal policies and procedures accordingly.