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Senior Compliance Officer- Equities

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Ilanna Abramowitz

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Stone X senior comp officer

  • Published:

    3 months ago

  • Expiry date:


  • Startdate:


We are excited to have partnered with a growing financial organization to search for a Senior Compliance Officer- Equities. This amazing opportunity will allow someone to excel in their skills and knowledge of compliance and equity capital markets.  

What you will be doing:  

  • Identify and interpret SEC, FINRA ,and self-regulatory organization rules and regulations to ensure the companies' policies and procedures comply in the Equity Capital Markets areas 
  • Reviews existing procedures to ensure compliance with the appropriate laws, regulations , and industry guidance related to equity capital markets 
  • Ability to communicate with respective teams that business to ensure updates are done and processes are in place  
  • Frequently perform tests on various company systems to ensure the systems are working as expected and meeting the regulatory requirements. This includes reviewing technical specifications to ensure the system is working correctly 
  • Conduct testing on the existing supervisory reviews and surveillance team's monitoring and review processes related to some of the rules listed below to ensure the processes are sufficient, accurate and that the existing policy and procedures are in line with the applicable rules (SEC Rule 613; CAT, SEC Rule 200, Rule 201, Rule 203(1) and (2), etc. 
  • Analyze FINRA report cards and communicate efficiently with the wider business to provide areas of focus based on FINRA report cards 

What you will need:  

  • Bachelor’s degree in Finance, Accounting, or another related field  
  • Series 7 and Series 24, are preferred. 
  • Data analysis experience 

For more information please contact Ilanna Abramowitz at Hamlyn Williams at or (646)-349-4242.