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Equity Capital Markets Compliance Director

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $170,000 - $180,000

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Director ECM

  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


We've partnered with a growing global FS firm who are looking to add an Equity Capital Markets (ECM) Director to their team.

They're strategically building out their ECM team in New York and have identified a need for someone with strong experience in creating supervisory programs, writing policies and procedures, and hands-on equities and options experience.

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 
  • Focus on primary and secondary on equity activity which include: market making, agency trading, institutional trading, options trading, algorithmic trading and professional trading desk.
  • Developing and implementing strategies to enhance regulatory compliance and reduce risk.
  • 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:

  • 7+ 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
  • Experience in dealing with senior compliance and regulatory staff at various exchanges and regulatory agencies.

For more information get in touch with Thomas Byrne at Hamlyn Williams at