Research Compliance Director

3 days ago


New York, New York, United States Larson Maddox Full time
Compliance Director - Research Compliance

Larson Maddox is seeking an experienced Compliance professional to provide specialist Compliance advice and guidance to senior leaders and key members of the firm's Research & Strategy group.

The Research & Strategy group is responsible for producing key data points and market commentary for the firm's substantial Investment Banking and Markets business lines.

The Compliance Director will be responsible for:

  • Providing specialist Compliance Advice to key stakeholders and business leaders across all of the firm's wholesale lines of business, producing key market research
  • Providing specialist Compliance Advice relating to policy, standards and industry best practice
  • Working with the Control Room overseeing chaperoning on behalf of key business units
  • Engagement with regulators on a state and federal level

The ideal candidate will have:

  • A minimum of 8+ years of relevant Securities Compliance experience, including experience of Equity Research
  • Excellent working knowledge of Equity Derivatives sales
  • Knowledge of Blue Matrix
  • Exceptional communication skills

Larson Maddox is a leading financial services firm, and this role will play a critical part in ensuring the firm's Research & Strategy group operates within a compliant framework.



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