Equities Trade Compliance Officer


Our client, who is headquartered in Manhattan, is a direct access trading firm. For nearly two decades, they have grown to be a leading trading technology and support services solution for individual, hedge fund and other group traders. Through the firm’s proprietary software, Hold Brothers offers traders direct access to markets and various liquidity pools around the world and has in-house team of experienced and senior-level developers that are available 24/7 to ensure that traders have access to the information, bandwidth, and support necessary to make informed decisions, execute trades efficiently, and manage risk appropriately.

Currently, they are seeking a highly skilled and experienced Public Equities Trading Compliance Officer to join the team. The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations.

What's in it for YOU?

  • In this role, you will have a lot of growth potential, as you will get a lot of exposure to the activity on the platform and this will allow future success l in your career.
  • Hybrid working opportunity. 
  • Work for a company that strives for industry leadership through their proactive, ongoing quest for innovation, and commitment to their clients' success.

What YOU get to go DO with this mission-driven company!

  • Monitor trading activities to ensure compliance with relevant regulations, laws, and policies.
  • Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies.
  • Develop and implement policies and procedures to ensure compliance with regulatory requirements.
  • Provide training and guidance to internal stakeholders on regulatory requirements and internal policies.
  • Conduct compliance risk assessments and audits of internal policies.
  • Investigate and resolve compliance issues and escalate as necessary.
  • Keep abreast of changes to regulatory requirements and make necessary updates to internal policies and procedures.
  • Interface with external regulatory bodies and respond to regulatory inquiries and requests for information.

What you NEED to SUCCEED in this challenging role:

  • Bachelor's degree in Business Administration, Finance, Legal or related field.
  • 4+ years of experience in public equities trading compliance.
  • Strong knowledge of FINRA and SEC rules and regulations related to public equities trading.
  • Experience using Trillium software for trade compliance management.
  • Experience developing and implementing public equities trading compliance policies and procedures.
  • Excellent written and verbal communication skills.
  • Strong attention to detail and ability to analyze complex data.
  • Ability to work independently and as part of a cross-functional team.
  • Ability to prioritize and manage multiple projects simultaneously.