Compliance Officer - Equities

Location: Bala Cynwyd (Philadelphia Area), Pennsylvania, United States; onsite

Company

Global quantitative trading firm applying scientific rigor, machine learning, advanced quantitative research, and technology to develop systematic trading strategies.

What you will do

• Provide real-time regulatory guidance and compliance oversight to equities trading and sales teams.
• Develop and maintain knowledge of trading strategies, algorithms, products, and market microstructure to deliver risk-based compliance support.
• Advise on regulatory considerations for new business initiatives, algorithmic trading, complex transactions, and desk-level enhancements.
• Support system and platform implementations, regulatory change initiatives, and control enhancements.
• Prepare documentary support and coordinate responses to regulatory inquiries and information requests.
• Collaborate with trading desks, front-office stakeholders, business management, and U.S. and global trading compliance teams.

Requirements

• 5–10+ years of compliance experience as a compliance officer or similar trading advisory professional within sales and trading focused on equities markets.
• Strong understanding of equities products and market structure, including cash equities, ETFs, options, and electronic or algorithmic trading.
• Working knowledge of Exchange Act rules, SEC and FINRA regulations, Regulation NMS, Regulation SHO, Rule 10b-5, exchange rules, market abuse frameworks, and equity trading and reporting requirements.
• Excellent judgment, self-sufficiency, organization, and clear communication skills, with the ability to provide concise and practical advice.
• Experience interacting with traders, senior business stakeholders, and technologists in a fast-paced environment.
• Ability to understand complex trading strategies and related systems and workflows.
• Experience communicating orally and in writing with regulators, including FINRA and exchanges.
• Collaborative attitude, relationship-building skills, and autonomy in managing competing priorities.

Nice to have

• Relevant licenses such as Series 7 or Series 24, or willingness to obtain them.

Culture & Benefits

• Intellectually driven and highly collaborative culture.
• Close collaboration among researchers, engineers, and traders.
• Work within a systematic trading environment focused on global markets, innovation, and solving complex problems.