Senior Compliance Specialist

Our client, a global investment bank, is seeking a Compliance professional with strong broker-dealer experience supporting Sales & Trading activities. This role will focus on risk and control oversight, ongoing monitoring, and compliance testing across equity and fixed income businesses, with exposure to investment banking and research-related regulatory requirements.

• Execute compliance testing as part of the firm’s ongoing monitoring program to assess adherence to federal regulations and internal policies/controls.
• Support a risk and controls framework across Sales & Trading, helping identify, evaluate, and mitigate compliance risks.
• Review and interpret SEC and FINRA rules and guidance impacting broker-dealers.
• Monitor regulatory developments and assess applicability to the business, particularly in investment banking, equity and fixed income sales & trading, and research.
• Partner with business stakeholders to strengthen supervisory controls and ensure appropriate escalation and documentation of issues.

• 5+ years of Compliance experience within a broker-dealer and/or investment bank, with direct support of Sales & Trading activities (required).
• Hands-on experience performing compliance testing/monitoring within an established compliance program.
• Strong knowledge of broker-dealer regulatory requirements, including SEC/FINRA rules, and related risks across Sales & Trading and investment banking.
• Ability to evaluate controls and provide practical guidance in a fast-paced, front-office environment.