Description Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethics. Company can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Overview: The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. Group Overview: Equity Sales and Trading Compliance Group ("Equity Compliance") advises on and assists the Firm's Equity Sales and Trading Division in establishing, implementing and enforcing sales and trading practices. Equity Compliance is responsible for reviewing business, compliance and supervisory processes and practices. The Group will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices. Responsibilities include: - Provide Compliance support for equity sales and trading desks, as well as support functions: IT, Risk, Operations, controllers, finance - Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules: Reg NMS, Reg SHO, OATS, Rule 5320, trade reporting, Rule 605/606, riskless principal - Communicate with traders and supervisors to assess risk and remediate issues - Assist in the design and maintenance of written supervisory procedures - Assist in regulatory reviews, including inquiries, audits and exams - Design and deliver applicable training for business unit personnel - Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations - Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation Qualifications - Minimum of three years of related experience - Candidate must demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner - Candidate should be proficient in time management and able to initiate and manage projects. - Bachelor's degree required