Job Description

Job Description

Job Description

We are looking for an experienced compliance leader to guide the regulatory program for a market-making business based in New York, New York. This Long-term Contract position will play a central role in strengthening oversight across trading activity, supervisory practices, and reporting obligations while supporting business growth with sound compliance guidance. The ideal candidate brings deep broker-dealer expertise, strong knowledge of trading regulations, and the ability to advise senior stakeholders on complex compliance matters.

Responsibilities:
• Direct the compliance function for the market-making business, establishing effective oversight across trading operations, surveillance activity, and regulatory reporting obligations.
• Interpret and apply broker-dealer, exchange, and applicable industry regulations to ensure the business operates within required compliance standards.
• Provide practical guidance on market-making activities, order handling practices, execution quality, trade reporting, and supervisory expectations.
• Lead reviews, monitoring efforts, and investigations involving trading behavior, employee conduct, and potential regulatory concerns.
• Coordinate responses to regulatory exams, information requests, filings, and corrective action plans to support timely and accurate resolution.
• Advise stakeholders on controls related to electronic and algorithmic trading, including governance, escalation processes, and risk mitigation measures.
• Work closely with Legal, Risk, Operations, Technology, and business leadership to maintain broad and consistent compliance coverage across the organization.
• Oversee the development and maintenance of policies, procedures, risk assessments, training programs, and supervisory documentation.
• Build, mentor, and lead a strong compliance team while communicating material risks, trends, and key issues to senior management.• 15+ years of experience in broker-dealer or trading compliance, including senior-level oversight responsibilities.
• Extensive knowledge of market-making regulation, trading compliance, and broker-dealer supervisory frameworks.
• Demonstrated expertise in exchange rules, regulatory reporting requirements, and examination readiness.
• Strong understanding of surveillance, monitoring, investigations, and remediation practices within a trading environment.
• Experience advising on electronic and algorithmic trading controls, governance, and risk management.
• Ability to partner effectively with cross-functional leaders and present compliance matters clearly to executive stakeholders.
• Active or prior relevant industry licenses such as Series 7, Series 24 or 14, and Series 57; Series 4 is a plus.
• Familiarity with compliance-related analytical work and supporting tools, including Excel, AML, and BSA concepts, is beneficial.

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