Equity Sales & Trading Compliance Officer

This individual will provide advisory compliance support for ISG Equity Sales and Trading, covering derivatives and sales. The individual's responsibilities will include the following: > Provide Compliance support for the Institutional Equity Division, as well as support functions: IT, Risk, Operations, Controllers, Finance. > Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules: SEC Regulations - Reg NMS, Reg SHO, Consolidated Audit Trail (CAT), FINRA Rules, trade reporting, best execution, SEC Rules 605/606 reporting, riskless principal. > Communicate with traders and supervisors to assess risk and remediate issues. > Assist in the design and maintenance of written supervisory procedures. > Assist in regulatory reviews, including inquiries, audits and exams. > Design and deliver applicable training for business unit personnel. > Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations. > Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation. > Minimum of seven years of related experience > Candidate must demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner > Knowledge of broker-dealer regulatory compliance, including SEC, FINRA and other SRO rules and regulations > Candidate should be a motivated self-starter, proficient in time management and able to initiate and manage projects > Candidate must have strong analytical skills to be comfortable working with large volumes of trade data > Candidate must feel comfortable interacting with and communicating regulatory requirements to technology and operations teams. > Bachelor's degree required Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Expected base pay rates for the role will be between $110,000.00 and $190,000.00 per year at the commencement of employment. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.