We've partnered with a growing global FS firm who are looking to add an Equities Compliance Officer to their team.

What you'll be doing:

• Great understanding of SEC, FINRA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance 
• Keeps abreast of new rules and regulations and how it affects the Equity Capital Market business activities of the firm to ensure firm policies and procedures are up to date; Reg SHO, SEC Rule 605 & 606, SEC Rule 15c2-11, Reg NMS.
• Manages team of personnel develops strategic compliance initiatives and directs these initiatives to completion. 
• Coordinates Firm’s regulatory response to Equity department-related inquiries and requests.
• Develops and implements policies and procedures across the Equity Capital Market areas of responsibility.
• Assists in developing an audit/control process for the annual FINRA Rule 3120 report

What they're looking for:

• 4+ years of compliance or regulatory experience.
• Strong knowledge of SEC and FINRA rules.
• Broad understanding and experience within Equity Capital Markets, Investment Banking and Research.
• Experience in a CAT Roll-out is beneficial

For more information get in touch with Thomas Byrne at Hamlyn Williams at t.byrne@hamlynwilliams.com

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