Hybrid (2 Days Home / 3 Days Office) About the Opportunity A self-clearing broker-dealer at the heart of U.S. equity markets has partnered with Axe Recruiting to identify a high-impact Trade Compliance Officer. As market complexity accelerates, this mission-critical role will ensure every trade adheres to SEC and FINRA regulations, transforming compliance from a back-office function into a strategic advantage. Key Responsibilities Real-Time Surveillance: Monitor and assess public equity trading activity for compliance with FINRA, SEC, and state regulations—focusing exclusively on equities (no fixed income, e-comms, ETF, or employee-trading surveillance). Trader Partnership: Work side-by-side with high-frequency and day-trading teams to embed regulatory controls into daily workflows. Policy & Procedure Management: Draft, implement, and maintain robust trading compliance policies and procedures. Internal Audits & Risk Assessments: Conduct regular compliance reviews, internal audits, and thematic risk assessments. Regulator Liaison: Respond to SEC and FINRA exam inquiries, coordinate documentation, and manage disclosure processes. Training & Change Leadership: Lead trainings on compliance updates; drive internal change initiatives to stay ahead of evolving regulatory frameworks. Surveillance Platform Expertise: Utilize Trillium (preferred) or equivalent (e.g., NASDAQ Smarts, NICE Actimize) to detect complex trading strategies such as spoofing and layering. Requirements Core Qualifications Bachelor’s degree in Finance, Law, Business, or related field Active Series 7 license; Series 24 preferred (or commitment to obtain upon hire) Minimum of 1 year hands-on compliance experience in public equities at a broker-dealer Deep knowledge of FINRA and SEC rules governing U.S. equity markets Proven track record executing trade surveillance in high-velocity trading environments Specialty Criteria Equities-Only Surveillance: Experience strictly in public-equity trade surveillance; exclude candidates whose sole background is fixed income, electronic-communications, ETF/portfolio, or employee-trading surveillance. Trader-to-Compliance Path: Candidates with an equities-trading background (active Series 7/24) who have transitioned or are open to transitioning into compliance tooling will be considered in the junior band. Compensation & Logistics Salary Bands: $80,000 – $120,000 for candidates requiring on-the-job training (e.g., former equities traders) Relocation & Sign-On Bonus: Available to attract top talent from outside NYC (notably Chicago) Benefits: Medical, Dental & Vision insurance; 401(k) with company match; Generous PTO; hybrid flexibility Why This Role Matters This is more than a compliance seat—it’s a leadership post where every second and every trade matters. You will elevate compliance to a competitive advantage, shaping the firm’s program and safeguarding its reputation in the fastest-moving equity markets. Regulatory Framework Resource For an overview of the regulatory framework, visit: #J-18808-Ljbffr
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