Director, Equities Compliance

Our client, a leading investment banking group, is looking for a Director, Equities Compliance to join their team.

Responsibilities:

• Develop, implement and maintain the equities compliance program, including policies, procedures, and controls
• Develop and implement compliance training programs for equities personnel
• Monitor and analyze regulatory developments related to equities trading and provide guidance to the business on regulatory changes
• Advise on the development of new products and services and assess the potential compliance risks
• Conduct compliance reviews and testing to identify potential areas of risk and provide recommendations for improvement
• Interact with regulators, industry associations and other stakeholders on compliance-related matters
• Manage and develop a team of compliance professionals

Qualifications:

• Bachelor's degree in a related field, such as business, economics, finance, or law
• 8+ years of experience in equities compliance, preferably in a financial services environment
• Strong knowledge of securities regulations and industry best practices related to equities trading
• Excellent communication and interpersonal skills, with the ability to interact effectively with all levels of management
• Ability to work independently and manage multiple projects simultaneously
• Strong leadership skills and experience managing a team

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