A global financial services firm is seeking an experienced Compliance professional to provide regulatory advisory support to broker-dealer and trading businesses. This role will serve as a subject matter expert on U.S. Securities regulations, with a primary focus on equities, listed options, and front-office trading activities. The successful candidate will partner closely with business leaders, trading desks, legal teams, and risk stakeholders to provide practical compliance guidance, support strategic initiatives, and strengthen the firm's regulatory control environment. RESPONSIBILITIES Regulatory Advisory Provide day-to-day compliance guidance to trading, sales, and business management teams.Interpret and advise on regulatory requirements impacting broker-dealer activities, trading operations, and market conduct.Evaluate business activities, transactions, and operational processes from a regulatory risk perspective.Serve as a trusted advisor to front-office stakeholders on compliance-related matters. Equities & Options Compliance Support equities and listed options businesses on regulatory, supervisory, and conduct-related requirements.Provide guidance regarding trading activities, market structure considerations, and applicable securities regulations.Assess new products, services, trading strategies, and business initiatives prior to launch.Partner with stakeholders to ensure appropriate controls and governance processes are established. Policies, Procedures & Governance Draft, review, and enhance compliance policies, procedures, and supervisory frameworks.Support maintenance of compliance governance processes, regulatory inventories, and compliance calendars.Assist with implementation and enhancement of compliance controls and monitoring processes.Contribute to compliance program development and continuous improvement initiatives. Regulatory & Risk Management Support regulatory examinations, inquiries, audits, and remediation activities.Monitor regulatory developments and assess potential business impacts.Partner with Legal, Risk, Operations, and Compliance teams to address emerging regulatory risks.Promote a strong culture of compliance, accountability, and ethical conduct. QUALIFICATIONS QUALIFICATIONS Bachelor's degree required;Finance, Economics, Business, or related field preferred.8+ years of experience within Compliance, Legal, Regulatory Affairs, or related financial services control functions.Strong broker-dealer regulatory compliance experience.Direct experience supporting equities and listed options trading businesses.Deep understanding of SEC, FINRA, and broker-dealer regulatory requirements.Excellent analytical, communication, and stakeholder management skills.Ability to provide practical regulatory guidance in a fast-paced environment. PREFERRED EXPERIENCE J.D. Or other advanced degree.Experience supporting sales and trading, market making, agency execution, or capital markets businesses.Familiarity with regulatory reporting obligations and supervisory frameworks.FINRA registrations such as Series 7, Series 24, or similar licenses.Experience operating within a global financial institution or matrixed organization. What This Role Offers High-visibility compliance advisory role supporting front-office trading businesses.Direct interaction with traders, business leaders, legal teams, and regulators.Exposure to equities, options, and broader capital markets activities.Opportunity to influence governance, controls, and regulatory strategy.Strong career growth path within broker-dealer and capital markets compliance leadership.