Not specified; eligible for base salary, discretio...
Hybrid
U.s. equity and options market structure knowledge
Sec and finra rules expertise
Broker-dealer compliance experience
This role provides independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions
Job Summary
This role provides independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions.
The position requires deep regulatory expertise to evaluate trading practices, interpret SEC and FINRA rules, and assess controls effectiveness.
Candidates will lead complex initiatives, manage regulatory exams, and drive process improvements while mentoring other compliance associates.
Matching Summary
This role provides independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions.
Salary
Not specified; Eligible for base salary, discretionary bonuses, and comprehensive benefits package including medical, dental, vision, life insurance, and retirement savings.
Skills & Requirements
Must-have
U.S. equity and options market structure knowledge
SEC and FINRA rules expertise
Broker-dealer compliance experience
Trading surveillance and exception reporting
Regulatory exam and audit support
Nice-to-have
Process improvement and automation skills
Cross-functional leadership abilities
Mentoring and coaching capabilities
Strong verbal and written communication
Project management in dynamic environments
Key Requirements
Bachelor's Degree required
Minimum 8 years financial services compliance experience
Series 7, 55/57, and 4 licenses strongly preferred