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Director of Research Compliance

2 months ago

New York, New York, United States Larson Maddox Full time

Larson Maddox, a leading financial services firm, is seeking an experienced Compliance professional to join its Research & Strategy team. As a key member of the team, you will provide specialist Compliance advice and guidance to senior leaders and key stakeholders across the firm's wholesale lines of business.

The ideal candidate will have a strong background in Securities Compliance, with experience in Equity Research and Equity Derivatives sales. You will be responsible for providing Compliance advice on policy, standards, and industry best practices, as well as working with the Control Room to oversee chaperoning on behalf of key business units.

Key Responsibilities:

  • Provide specialist Compliance advice to key stakeholders and business leaders across all of the firm's wholesale lines of business.
  • Develop and implement Compliance policies and procedures to ensure adherence to regulatory requirements.
  • Collaborate with the Control Room to oversee chaperoning on behalf of key business units.
  • Engage with regulators on a state and federal level to ensure Compliance with relevant regulations.

Requirements:

  • Minimum of 8+ years of relevant Securities Compliance experience, including experience in Equity Research.
  • Excellent working knowledge of Equity Derivatives sales.
  • Knowledge of Blue Matrix.
  • Exceptional communication and interpersonal skills.