Compliance Advisory - Prime Brokerage / Equity

  • Circa $125-150k base plus bonus
  • New York, NY, USA
  • Permanent, Full time
  • Robert Half - US
  • 26 Sep 16

Robert Half Financial Services are currently recruiting for a Prime Brokerage /Equity Compliance Advisory role within an International Broker Dealer, based in midtown New York. Our client requires at least 3+ years Prime Brokerage /Equity Compliance Advisory experience with knowledge of Prime Brokerage, Equities, Securities Lending and FINRA/SEC Regulations.


The primary responsibility of the Prime Brokerage /Equity Compliance Advisory is to provide compliance advisory in prime brokerage, securities lending and equity business lines, with a focus on providing real-time compliance advice to the prime brokerage business units. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. Focus on prime brokerage and equities activities, as well as regulatory investigations and inquiries.  


  • Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.  
  • Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
  • Maintain and Oversee the Firm’s prime brokerage activities
  • Draft, update, and implement relevant policies and procedures.
  • Provide regulatory/compliance training.
  • Assist the business on implementing and documenting various supervisory/control mechanisms.
  • Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
  • Interact with federal and state regulators
  • Perform testing and monitoring of compliance with firm policies for covered business areas
  • Conduct compliance risk assessments to ensure effective business control framework
  • Analyze new regulations and conduct business-based analysis and execute requite implementation.
  • Provide ongoing reporting to senior management
  • Develop and deliver proactive strategies and tactics that support compliance/business objectives


  • Bachelor’s degree essential, Juris Doctor (JD) is desirable
  • At least 3+ years Compliance Advisory experience within Prime Brokerage, Securities Lending, or Equities
  • Knowledge of prime brokerage activities and requirements
  • Significant experience in providing legal, regulatory or compliance advice to Markets sales and trading
  • Knowledge of  equities sales and trading markets
  • Knowledge of equity derivatives and structured transactions a plus   
  • Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.

This Prime Brokerage /Equity Compliance Advisory role is located in Midtown New York so please only apply if you are able to travel to this location, and have relevant recent experience. The salary is flexible dependent on experience, if your profile matches the above criteria please contact me on ****