**Essential Duties and Responsibilities** + Provides advisory compliance oversight for retail equities and options trading, including review of exception reporting, trading activities, and corrective actions. + Partners with business units to strengthen policies, controls, and regulatory adherence. + Leads and coordinates compliance processes, audits, and reporting. + Researches and interprets regulatory developments. + Represents Compliance in cross-functional initiatives, and drive process improvements and automation efforts. + Represents Business Unit Compliance in cross-Compliance Dept initiatives (Risk and Control Self Assessment, Regulatory Change Management). + Serves as a subject matter resource to stakeholders while independently managing priorities, projects, and competing demands with strong organizational and interpersonal effectiveness. + Coaches, trains, and mentors other Compliance associates, as needed. + Serves as a compliance liaison on various committees and projects representing the interest of the department. + Attends and delivers presentations at industry-related conferences. + Researches and drafts responses to regulatory inquiries and exams. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + Strong knowledge of U.S. equity and options market structure, order handling, execution practices, and retail trading workflows + Experience in trading, advisory compliance, supervision, or regulatory oversight within a broker-dealer environment + Solid understanding of SEC and FINRA rules applicable to retail trading (e.g., best execution, Reg NMS, Reg SHO, order routing, options suitability, supervision frameworks, trade reporting) + Ability to assess trading-related risks, interpret complex regulatory requirements, and apply them pragmatically to business processes + Analytical capability to review exception reporting, surveillance outputs, and trading data to identify trends and emerging risks + Strong project management skills, including the ability to lead cross-functional initiatives, manage competing priorities, and deliver results independently + Experience supporting regulatory exams, audits, and remediation efforts + Ability to drive process improvements and enhance control frameworks in a dynamic trading environment **Advanced Skill in:** + Administering regulatory notification and filings. + Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring procedures and tests. + Preparing oral and/or written reports. + Investigating compliances issues and irregularities. + Making rule-based and analytical decisions. + Strong verbal and written communication. + Operating standard office equipment and using required software applications. **Ability to:** + Coach and mentor others. + Partner with other functional areas to accomplish objectives. + Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed. + Attend to detail while maintaining a big picture orientation. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. + Work independently as well as collaboratively within a team environment. + Establish and maintain effective working relationships at all levels of the organization. + Maintain confidentiality. + Maintain currency in laws, rules and regulations related to compliance in assigned functional area. + Interpret and apply policies and identify and recommend changes as appropriate. + Quantitatively and/or qualitatively process data. + Formulate and implement department strategies consistent with long-term company goals. + Promote team cohesiveness, cooperation, and effectiveness. **Educational/Previous Experience Requirements** + Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management. ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + None Required. + Series 7, 55/57 and 4 are strongly preferred + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.