Trade Compliance Officer

Key Responsibilities: Monitor equity trading activity to ensure compliance with SEC, FINRA, and global regulatory requirements. Review and investigate potential trade violations or unusual activity in real-time and post-trade surveillance. Act as a liaison between the trading desk and regulatory bodies, ensuring timely and accurate reporting. Develop, implement, and maintain policies and procedures to support equity trade compliance. Assist in the development and deployment of surveillance and monitoring tools specific to the equities business. Conduct periodic risk assessments and gap analyses related to equities compliance. Provide training and ongoing guidance to traders and front-office staff on relevant compliance topics. Support regulatory audits, inquiries, and internal reviews, ensuring accurate documentation and responses. Keep abreast of regulatory developments, industry trends, and best practices affecting equity trading. Qualifications:

Bachelor's degree required; JD, MBA, or advanced degree in finance, law, or related field is a plus. 5+ years of experience in a compliance role within a trading or capital markets environment, ideally within equities. Deep knowledge of equity products and trading practices, including algorithmic trading and market making. Familiarity with regulatory frameworks such as SEC, FINRA, MiFID II, and other global standards. Proficient in using trade surveillance systems (e.g., SMARTS, Actimize, or similar). Strong written and verbal communication skills with the ability to interact effectively across all levels of the organization. Highly analytical, detail-oriented, and capable of managing multiple priorities under tight deadlines.