Compliance Sr. Manager, Global Equities

**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 o...