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Job Type: Hybrid (2 Home/ 3 Office)
Industry: Financial Services – Capital Markets
Client: Confidential (Self-Clearing Broker-Dealer)
About the Opportunity
A self-clearing broker-dealer based in New York City has partnered with Axe Recruiting to identify a high-impact Trade Compliance Officer. This firm operates at the heart of U.S. equity markets, managing sophisticated trade infrastructure and regulatory operations. As market complexity increases, so does the need for leadership in compliance—this role is mission-critical.
The Trade Compliance Officer will work closely with trading teams, internal stakeholders, and external regulators to ensure all trading activity is conducted within the bounds of SEC and FINRA regulations. This is an ideal opportunity for a professional who understands the nuance of market regulation and can translate compliance into action.
Key Responsibilities
Monitor and assess trading activity to ensure compliance with applicable FINRA, SEC, and state-level regulations.
Collaborate with traders and operational staff to reinforce regulatory awareness and adherence.
Draft, implement, and maintain policies and procedures supporting compliant trading operations.
Conduct internal audits, surveillance, and risk assessments.
Respond to regulatory inquiries from agencies such as the SEC and FINRA; manage documentation and disclosure processes.
Stay ahead of evolving compliance frameworks and lead internal change initiatives as needed.
Train employees and leadership on compliance updates and enforcement procedures.
Utilize Trillium software to monitor, evaluate, and document trading compliance events.
Requirements
Bachelor’s degree in Finance, Law, Business, or related field.
A minimum of 4 years’ experience in public equities compliance.
Active Series 7 license; Series 24 preferred or commitment to obtain upon hire.
Deep working knowledge of FINRA and SEC rules governing public equities.
Experience with trade compliance software, particularly Trillium, is highly desirable.
Strong writing, documentation, and stakeholder engagement capabilities.
Ability to function effectively in a high-stakes, fast-paced trading environment.
Why This Role Matters
This is more than a compliance seat—it’s a leadership post in an environment where every second and every trade matters. The selected candidate will drive proactive regulatory strategy, ensuring that compliance is not a back-office function but a competitive advantage.
Apply Today
Axe Recruiting is managing the search process on behalf of our client. To express interest or apply confidentially:
📧 [email protected]
🌐 www.axerecruiting.com
To learn more about the regulatory framework this role supports, visit:
📖 SEC Division of Trading and Markets – Compliance Resources
To apply for this job email your details to hiring@axerecruiting.com