Compliance Sr. Manager, Global Equities

Chartwell Investment Partners

Remote
**
Retail equities and options trading oversight
Regulatory interpretation and application
Trading practice evaluation
** Chartwell Investment Partners is seeking a Compliance Sr. Manager for Global Equities to oversee retail equities and options trading compliance. The role involves advising on regulatory adherence, leading compliance initiatives, and partnering with various stakeholders to mitigate risks in a remote setting. **

Job Summary

  • Provide independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions.
  • Partner with business, risk, and compliance stakeholders to evaluate trading practices, interpret regulatory requirements, and assess controls effectiveness.
  • Lead complex, high-impact initiatives, exercise sound judgment in resolving escalated matters, and engage regularly with internal partners and regulatory bodies.

Matching Summary

Match Score: 75

** Chartwell Investment Partners is seeking a Compliance Sr. Manager for Global Equities to oversee retail equities and options trading compliance. The role involves advising on regulatory adherence, leading compliance initiatives, and partnering with various stakeholders to mitigate risks in a remote setting. **

Skills & Requirements

Must-have

  • Retail equities and options trading oversight
  • Regulatory interpretation and application
  • Trading practice evaluation
  • Control effectiveness assessment
  • Emerging risk identification

Nice-to-have

  • Process improvement and automation
  • Cross-functional initiative leadership
  • Subject matter expertise
  • Coaching and mentoring

Key Requirements

  • Minimum of eight (8) years of experience in financial services, compliance, or risk management
  • Strong knowledge of U.S. equity and options market structure
  • Solid understanding of SEC and FINRA rules for retail trading
  • Series 7, 55/57 and 4 strongly preferred

Work Rights

Not specified

Tailored Resume

Cover Letter