Sr. Compliance Manager – Equities & Capital Markets (CAT Reporting) | Elite Broker-Dealer | $150K–$175K + Bonus

To apply to this hybrid opportunity in equity sales, trading & capital markets- Please submit your application here & send your updated resume to alex.muzaurieta@roberthalf.com.

 

Exciting Compliance Manager Opportunity – Equities & Capital Markets

A leading investment bank & full-service broker-dealer is seeking a Compliance Manager to oversee regulatory compliance for equity sales, trading, and capital markets. This is a high-impact, hands-on role with a clear path for growth, reporting directly to the Senior Compliance Director.

 

Location: New York, NY (Midtown) or Greenwich, CT (Hybrid – 3 days in office)

Industry: Broker-Dealer | Equities Trading | Capital Markets

 

What You’ll Do:

✔ Oversee trade reporting & surveillance (Reg SHO, NMS, CAT, Rule 606, Reg M, FINRA 5130/5131)

✔ Ensure compliance with SEC, FINRA, and exchange regulations

✔ Respond to regulatory inquiries, audits, and investigations

✔ Collaborate with trading, operations, and risk teams to enhance compliance controls

✔ Develop & test policies, procedures, and compliance programs

✔ Support branch office inspections and compliance training

 

What We’re Looking For:

✅ 7-15+ years of broker-dealer compliance experience (equities trading/capital markets focus)

✅ CAT (Consolidated Audit Trail) reporting expertise is required (trade reporting & Rule 606 a huge plus!)

✅ FINRA Series 7 & 24 preferred (or willingness to obtain within 12 months)

✅ Strong analytical & problem-solving skills – must be hands-on and detail-oriented

 

Why Join?

Dynamic, growing firm with long-term career potential

Expanding compliance team with leadership opportunities

Collaborative culture working alongside senior compliance leaders, investment banking & trading teams

 

Know someone great?

Let’s connect! Reach out or send referrals to alex.muzaurieta@roberthalf.com