Director of Research Advisory Compliance

4 days ago


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

Job Summary

Larson Maddox is seeking an experienced Compliance professional to join our team as a Director of Research Advisory Compliance. As a key member of our Research & Strategy group, you will provide specialist Compliance advice and guidance to senior leaders and key stakeholders.

About the Role

The successful candidate will be responsible for:

  • Providing specialist Compliance advice to key stakeholders and business leaders across all of our wholesale lines of business, producing key market research.
  • Providing specialist Compliance advice relating to policy, standards, and industry best practice.
  • Working with our Control Room to oversee chaperoning on behalf of key business units.
  • Engagement with regulators on a state and federal level.

Requirements

The ideal candidate will have:

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

What We Offer

Larson Maddox offers a dynamic and challenging work environment, with opportunities for professional growth and development. We are committed to attracting and retaining top talent and offer a competitive compensation package.



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