Compliance Sr. Manager, Global Equities

Willenborg Wealth Management

Remote
Remote
Retail equities and options trading oversight
Regulatory requirement interpretation
Trading practice evaluation
Willenborg Wealth Management is seeking a Compliance Senior Manager for Global Equities to oversee regulatory compliance for retail equities and options trading. The role involves significant autonomy in providing advisory and control oversight, partnering with various stakeholders, and leading compliance initiatives

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: 85

Willenborg Wealth Management is seeking a Compliance Senior Manager for Global Equities to oversee regulatory compliance for retail equities and options trading. The role involves significant autonomy in providing advisory and control oversight, partnering with various stakeholders, and leading compliance initiatives.

Skills & Requirements

Must-have

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

Nice-to-have

  • Process improvement and automation
  • Cross-functional initiative leadership
  • Subject matter expertise sharing
  • Industry conference presentations

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
  • Series 7, 55/57 and 4 strongly preferred

Work Rights

Not specified

Tailored Resume

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