Connecting linkedin



Senior Compliance Officer - Equity Capital Markets

  • Location

    New York, New York

  • Sector:

    Financial Services and Banking

  • Salary:

    $120,000 to $150,000

  • Contact:

    Nicole Izurieta

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Senior Compliance Officer - Equity Capital Markets

  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


We’ve partnered with a bank to bring on a Senior Compliance officer for their Equity Capital Markets team. The ideal candidate will provide their expertise and strong understanding on equity capital markets rules and regulations.

What you’ll be doing:

  • Maintain firm’s Equity Capital Markets policies and procedures to ensure compliance with SEC and FINRA.
  • Works with all levels of management to ensure that supervisory processes and controls are established.
  • Conduct testing on supervisory reviews and surveillance teams monitoring to make sure controls are working appropriately.
  • Provide analysis on FINRA report cards monthly. This includes putting together statistics that highlight trends and anomalies.

Minimum Requirements

  • Bachelor’s level educated – Finance, accounting or related field is preferred
  • Experience working with…
    • SEC rule 613, 200, 201, 203b(1), 204, 10b-21, SHO
    • FINRA 6460, 2360 options trading, 5310 best execution and inter-positioning
    • Investment Company Act 1940 (ESMA Rule) -Undertaking for the Collective Investment in Transferable Securities (UCITS),
    • SEC Rule 3a51-1, SEC Rule 15g-2, Schedule 15G, SEC Rule 15g-3: Low-Priced securities (Penny-stocks),  SEC Rule 15a-6:  Permissible activities of which foreign broker-dealers , SEC Rule 13h-1: Large Trader Rule
    • REG NMS
  • FINRA series 7 & 24 preferred
  • Experience working with senior compliance and regulatory staff from exchanges and regulatory agencies.