Senior Equities Compliance Officer

We are partnering with a leading global financial services firm seeking a Senior Equities Compliance Officer to provide regulatory advisory support to its equities trading and sales businesses. This role sits within the second line of defense and focuses on ensuring alignment with U.S. securities laws and SEC/FINRA requirements while supporting business initiatives.Key ResponsibilitiesServe as a compliance advisor to equities business units on regulatory requirements and firm policiesProvide guidance on new products, trading activities, and strategic initiativesEnhance surveillance, monitoring, and testing programs to identify and mitigate compliance risksSupport regulatory examinations, inquiries, and ongoing regulator engagementConduct risk assessments and oversee remediation effortsMonitor regulatory developments and assist with policy updatesDeliver compliance training and partner closely with Legal, Risk, and Operations teamsThis role offers strong exposure to senior stakeholders and the opportunity to contribute to a dynamic equities compliance program.