Compliance Officer, International Trading

Overview

• Provide compliance support for international sales and trading teams, ensuring adherence to regulatory standards and policies.
• Review and assess cross-border equity offerings and communications to U.S. investors for regulatory compliance.
• Collaborate with global control room personnel on wall-crossing procedures and recordkeeping requirements.
• Deliver targeted compliance training sessions on new regulations and emerging risks.
• Partner with IT and business units to automate and enhance compliance processes.
• Support management in developing action plans to strengthen regulatory controls.
• Communicate effectively with staff at all organizational levels to address compliance issues.

Key Responsibilities & Duties

• Review marketing materials and communications for compliance with SEC and FINRA regulations.
• Monitor sales and trading activities related to SEC Rule 15a-6 agreements.
• Coordinate wall-crossing requests and maintain accurate records.
• Provide guidance to sales and trading teams on U.S. regulatory requirements.
• Develop and present compliance training sessions to address policy updates.
• Collaborate with IT to identify opportunities for process automation.
• Prepare and present compliance topics at trading staff meetings.
• Support management in implementing regulatory action plans.

Job Requirements

• Bachelor's degree in a relevant field is required.
• Minimum of four years of experience in regulatory or compliance settings.
• Knowledge of sales and trading compliance at U.S. broker-dealers.
• Strong understanding of regulatory rules concerning communications and equity offerings.
• Preferred legal training or direct regulatory experience.
• Exceptional analytical skills and attention to detail.
• Ability to operate effectively in fast-paced environments.
• Superior oral and written communication skills.