Compliance Sr. Manager, Global Equities

Job description

Job Description Summary Under limited supervision and with substantial autonomy, the candidate will apply deep regulatory and compliance expertise to provide independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions. Partners with business, risk, and compliance stakeholders to evaluate trading practices, interpret regulatory requirements, assess controls effectiveness, and address emerging risks. Leads complex, high-impact initiatives, exercises sound judgment in resolving escalated matters, and engages regularly with internal partners and regulatory bodies to support governance, regulatory adherence, and risk mitigation. Job Description: 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 a...