Director - Regulatory Operations Compliance

Job Description

Growing clearing fintech broker dealer is seeking a regulatory operations compliance officer to further enhance their Reg Sho framework.

​

Key Responsibilities

• Maintain, administer, and enhance compliance policies, procedures, and written supervisory procedures (WSPs) related to Reg SHO, particularly Rule 204.
• Monitor and analyze Reg SHO obligations and aging reports to ensure compliance and resolve fail-to-deliver (FTD) positions in real time.
• Work closely with stock loan desk, traders, and market makers to address questions and provide interpretive guidance on Reg SHO.
• Develop and manage the client notification and penalty box process for non-compliant positions.
• Prepare and submit timely internal reports on Reg SHO compliance to senior stakeholders.
• Draft responses to Client, SEC, and other regulatory inquiries, escalating any issues to the Head of Custody Operations, Equity Finance Desk, and CCO.

​

Qualifications & Experience

• 5+ years of experience in financial services, with exposure to compliance, stock loan, or operations at a prime broker and/or clearing firm.
• 3+ years of direct Reg SHO compliance experience at a broker-dealer or clearing firm.