Job Title: US Capital Markets Compliance Officer

Reports to (Job Title): Senior U.S. Capital Markets Compliance Officer

Job Level: Executive Director

Work City, Province: New York, NY, U.S.


This global financial institution with over 44,000 employees globally and annual revenue in excess of $12 billion. The Wholesale arm of this company provides a wide range of investment banking, global markets, credit, and research products and services to government, institutional, corporate and retail clients in North America and in key markets around the world. The employees work in highly disciplined cross-functional teams to leverage industry knowledge and deliver innovative capital solutions and advisory expertise across a wide range of sectors.

This company has a strategic growth initiative focused primarily in the U.S. and recently completed the ~US$5 billion acquisition of a publicly traded commercial bank, as well as the ~US$200 million acquisition of a private wealth management company.


The U.S. Capital Markets Compliance Officer is responsible for performing important advisory and surveillance functions to support this company’s US Compliance program. The Compliance Officer 1) administers key policies; 2) monitors activities to ensure compliance with our policies and industry regulatory requirements; 3) advises employees on specific regulatory requirements; and 4) maintains procedures to ensure that certain controls are appropriately documented and performed.


The U.S. Capital Markets Compliance Officer is primarily accountable for:

  • Providing ongoing Compliance advisory services to the U.S. Capital Markets Prime Brokerage business, which includes liaising with external regulators (e.g. FINRA, Federal Reserve), internal infrastructure support and front office personnel, in the development and implementation of the new prime brokerage product offering;
  • Providing ongoing Compliance advisory services to sales and trading personnel within U.S. Capital Markets Equity Derivatives Business. This includes providing real-time advisory support to the respective desk and collaborating with the Head of US Equity Derivatives Trading and the Regulatory Supervision team;
  • Providing ongoing Compliance advisory services to infrastructure support teams in Finance, Operations, Client Services, Trade Control and Technology, covering operational requirements such as Net Capital (15c3-1), Customer Protection (15c3-3), Margin (Reg T and Reg U), Reg SHO, 10b-10 confirms, Prospectus Delivery, Unregistered Offerings;
  • Providing ongoing advisory services and monitoring of the company’s regulatory reporting, including, but not limited to, FINRA INSITE, Form Custody, FOCUS Filings, Reg-T Extensions, Short Interest Reporting, EBS, OATS, LOPR (OTC & Listed), CAT NMS (upon go-live) and Section 13 Filings.
  • Monitoring the activities of our Prime Brokerage and Equity Derivatives businesses to assess overall compliance with regulatory rules;
  • Drafting and maintaining key policies and procedures;
  • Collaborating with Technology and front office personnel on the development and implementation of solutions to address new regulatory requirements, second line of defense monitoring and surveillance capabilities ;
  • Assisting senior Compliance officers in coordinating U.S. regulatory exams by regulators such as FINRA, CFTC, SEC and the Chicago Federal Reserve and audits of Compliance by Internal Audit;
  • Performing risk assessments of U.S. regulatory requirement group topics to determine risk ratings under this company’s Legislative Compliance Management framework;
  • Performing electronic communications surveillance of U.S. Capital Markets personnel to identify issues of potential regulatory concern;
  • Evaluating new business initiatives, regulatory developments and proposing customized compliance solutions within the firm’s risk tolerance and regulatory requirements
  • Identify potential areas of compliance vulnerability, risks and developments and lead projects related to the enhancement of the compliance program and strategic initiatives;


This job requires interaction with:

  • Line of business staff to inquire about issues of potential regulatory concern and to advise on Compliance related matters;
  • Infrastructure support groups (e.g., Finance and Operations) to collaborate on control issues;
  • US Legal to seek interpretive guidance on technical regulatory requirements;
  • U.S. regulators and our Internal Audit staff during regulatory exams and audits; and
  • Technology in order to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria;


  • As an employee of this company, the incumbent must comply with all applicable company and Line of Business policies, standards, guidelines and controls.
  • As a Compliance Officer, this job is accountable for reviewing the work of others in the business unit to ensure adherence with all company and LOB governance requirements;
  • As an employee of this company, the incumbent must complete all annual training requirements


As a key contributor to Compliance, this job has:

  • The authority to recommend changes to U.S. policies and procedures to ensure that relevant regulatory requirements are properly documented and processes are developed and implemented done in the most effective and efficient manner to achieve regulatory compliance;
  • The authority to represent Compliance on internal projects relating to the development and implementation of trading and trade reporting systems for derivatives and related cash products


  • 4-year undergraduate degree;
  • Subject matter expertise on rules and regulations pertaining to prime brokerage, equity finance and securities lending businesses required;
  • Subject matter expertise on SEC, FINRA, OCC and Options Exchange rule requirements pertaining to this company’s Equity Derivatives business required;
  • Minimum 7 years of experience in Legal, Compliance or Regulatory role required;
  • Understanding of portfolio margining and synthetic prime brokerage a plus;
  • Understanding of U.S. regulatory landscape, with a familiarity with the Volcker Rule and CFTC/SEC swaps rules a plus;
  • Strong interpersonal skills in order to maintain working relationships;
  • Excellent verbal and writing skills;
  • Series 7 preferred, (Series 3, 4, 24, 30, 57 licenses are a plus)

If you are interested, please send resumes to Jack Kelly at jack@compliancesearch.com

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