Senior Compliance Officer – Equities (Global Quant Trading Firm)
Role Overview
The organization is seeking a highly motivated professional to join the team as a Senior Compliance Officer. In this role, the individual will provide real-time regulatory guidance and oversight to trading and sales teams. The role ensures that business activities across the product spectrum comply with relevant jurisdictional regulatory requirements and internal governance policies.
The position requires strong product knowledge, excellent communication skills, and the ability to translate complex regulatory expectations into practical, actionable guidance. The successful candidate will partner closely with front-office stakeholders, manage regulatory risk, support risk surveillance and control frameworks, and contribute to a strong culture of compliance.
Key Responsibilities
- Partner with internal business units to enhance processes, drive efficiencies, and support strategic growth initiatives.
- Advise on compliance considerations for new business initiatives, automated/algorithmic trading, complex financial transactions, and desk-level enhancements.
- Support new technology and platform implementations, regulatory change initiatives, and internal control enhancements.
- Prepare documentary support, coordinate with internal stakeholders, and draft responses to regulatory inquiries, audits, and requests for information.
- Develop and maintain strong relationship channels with senior business leaders.
- Provide day-to-day advisory on regulatory questions, trading rules, market conduct, and policy interpretation.
- Identify emerging operational and regulatory risks related to market structures, legislative shifts, or new product development.
- Collaborate closely with other members of the global compliance function to ensure consistent cross-border standards and collaboration.
Candidate Qualifications
- 5–10+ years of compliance, risk, or legal experience within financial markets.
- Strong understanding of market structures and financial instruments (e.g., cash products, derivatives, electronic/algorithmic trading platforms).
- Working knowledge of relevant market regulations, including market abuse frameworks, short-sale rules, anti-fraud provisions, investor protection acts, and trading/reporting requirements.
- Excellent judgment, communication skills, and the ability to provide concise, practical advice to high-pressure environments.
- Proven experience interacting with traders, portfolio managers, and senior business stakeholders.
- Relevant industry regulatory licenses, certifications, or a willingness to obtain them upon hire.
For Additional Information Contact:
Peter French
VP & Executive Recruiter, Legal Practice Lead
(443) 691-1494