Connecting linkedin



Head of Equities Capital Markets Compliance

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $180,000 - $200,000 base + 50% bonus

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Equities Compliance

  • Published:

    6 days ago

  • Expiry date:


  • Startdate:


We're working on an exciting opportunity for a Head of Equities Compliance to join a well-known financial services firm. This is exciting as you'll work closely with the CCO to build their ECM team and wider markets function.

What you'll be doing:        

  • Updating the firm’s supervisory policies and procedures.
  • Building a compliance surveillance program and implementing key supervisory systems and controls.
  • Building out a compliance program for the firm’s equity trading desk, to include OTC and Listed Trading. 
  • Training of the firm’s trading desk personnel, back-office support, and technology support on topics relevant to the firm’s trading activities will also be a requirement. 
  • Interface with regulators on trading-related issues and be responsible for the drafting of regulatory responses.
  • Drafting responses to regulatory inquiries and exam requests.
  • Leading and developing a team within the compliance function 
  • Communicating with senior business leaders regarding compliance issues identified or changes to regulations.
  • Managing changes to regulations to ensure the Firm is in compliance with same, including communicating to internal partners, creating policy and control changes

Required Experience and Skills:

  • 10+ years of experience in Compliance,
  • 5+ within Equity Trading Compliance.
  • Strong leadership skills
  • Bachelors degree level educated
  • Series 7, 55, and 24.

For more information email Thomas Byrne at