Connecting linkedin



Equities Compliance Officer

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $145,000 - $155,000

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Equities Compliance

  • Published:

    3 months ago

  • Expiry date:


  • Startdate:


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