Compliance Officer, Broker-Dealer Advisor (Equity Options) VN2750

A global financial services firm is seeking an experienced Compliance professional to provide regulatory advisory support to broker-dealer and trading businesses. This role will serve as a subject matter expert on U.S. Securities regulations, with a primary focus on equities, listed options, and front-office trading activities.

The successful candidate will partner closely with business leaders, trading desks, legal teams, and risk stakeholders to provide practical compliance guidance, support strategic initiatives, and strengthen the firm's regulatory control environment.

RESPONSIBILITIES

Regulatory Advisory

• Provide day-to-day compliance guidance to trading, sales, and business management teams.
• Interpret and advise on regulatory requirements impacting broker-dealer activities, trading operations, and market conduct.
• Evaluate business activities, transactions, and operational processes from a regulat...