?? Compliance Manager - Equities & Capital Markets | ...

To apply to this hybrid opportunity in equity sales, trading & capital markets- Please submit your application here & send your updated resume to alex.muzaurieta@.Exciting Compliance Manager Opportunity - Equities & Capital Markets ?? A leading investment bank & full-service broker-dealer is seeking a Compliance Manager to oversee regulatory compliance for equity sales, trading, and capital markets. This is a high-impact, hands-on role with a clear path for growth, reporting directly to the Senior Compliance Director. Location: New York, NY (Midtown) or Greenwich, CT (Hybrid - 3 days in office) Industry: Broker-Dealer | Equities Trading | Capital MarketsWhat You'll Do: ? Oversee trade reporting & surveillance (Reg SHO, NMS, CAT, Rule 606, Reg M, FINRA 5130/5131) ? Ensure compliance with SEC, FINRA, and exchange regulations ? Respond to regulatory inquiries, audits, and investigations ? Collaborate with trading, operations, and risk teams to enhance compliance controls ? Develop & test policies, procedures, and compliance programs ? Support branch office inspections and compliance trainingWhat We're Looking For: ? 3-10+ years of broker-dealer compliance experience (equities trading/capital markets focus) CAT (Consolidated Audit Trail) reporting expertise is required (trade reporting & Rule 606 a huge plus!) ? FINRA Series 7 & 24 preferred (or willingness to obtain within 12 months) ? Strong analytical & problem-solving skills - must be hands-on and detail-orientedWhy Join? ?? Dynamic, growing firm with long-term career potential ?? Expanding compliance team with leadership opportunities ?? Collaborative culture working alongside senior compliance leaders, investment banking & trading teamsKnow someone great? ?? Let's connect! Reach out or send referrals to alex.muzaurieta@

Created: 2025-02-14