Equities Compliance Officer

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.


Our client is seeking an individual to assist in providing business compliance oversight coverage of equities and listed options sales and trading.

Client Details

Our client is a large firm located in Manhattan.


  • Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework, and internal Policies and Policy Standards

  • Work with personnel from multiple business lines

  • Best Execution Remediation

  • CAT Implementation

  • REG M Block Trading

  • Provide coverage of equities and listed option sales and trading while developing working relationships with other business units

  • Verification checks


  • Bachelor's Degree
  • 5+ years of relevant experience working within a Financial services institution
  • Excellent communication skills
  • Ability to maintain balance between internal policies and procedures and commercial aspects of the business.

Job Offer

Our client offers a competitive package.

Michael Page
Full time
Salary Range
$57,000.00 - 100,000.00
per Year
Salary range estimated by
New York, NY 10261, US
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