Capital Markets Compliance Specialist

Role: Must have Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures Compliance, Fixed Income Compliance, Front Office Advisory, New Product Approval Regulatory Expertise (SEC, FINRA & Broker-Dealer Rules) Control Framework, Policies & Stakeholder Management Must have 3-7+ years of experience supporting Equities, Equity Derivatives, Futures, or Fixed Income businesses within an investment bank or broker-dealer, possessing strong SEC/FINRA regulatory knowledge Experience advising Front Office stakeholders, supporting regulatory examinations, and maintaining compliance policies, procedures, and risk frameworks