Employvision Inc. · 18 hours ago
Director – Global Markets Regulatory Compliance Advisory
New York, NY
Full-time
Onsite
Director/Executive
$180K/yr - $220K/yr
8+ years expEmployvision Inc. is seeking a Director – Global Markets Regulatory Compliance Advisory to support broker-dealer activities within Global Markets and Investment Banking. This senior advisory role focuses on SEC and FINRA compliance, providing guidance on fixed income products and M&A advisory while enhancing the broker-dealer compliance program.
ConsultingDeliveryHuman ResourcesInformation TechnologyLegal
Hiring Manager
Mritunjay Kumar
Responsibilities
Provide regulatory and compliance advice for fixed income products and M&A advisory activities
Advise Global Markets and Investment Banking on new products, activities, and regulatory change
Support and coordinate SEC and FINRA regulatory examinations, audits, and inquiries
Maintain and enhance policies, procedures, and Written Supervisory Procedures (WSPs)
Partner with Legal, Risk, Operations, Finance, IT, and Audit teams on compliance matters
Assess business risks and effectiveness of controls through surveillance and monitoring programs
Design and maintain compliance frameworks aligned with industry best practices
Support annual compliance certifications, branch inspections, and senior management reporting
Assist the Chief Compliance Officer in overseeing the broker-dealer compliance program
Lead and mentor a small team of compliance professionals
Qualification
Required
8+ years of compliance advisory experience within capital markets or broker-dealer environments
Strong working knowledge of SEC and FINRA regulations
Experience advising on fixed income products and capital markets activities
Proven experience interacting with U.S. regulators
Series 7, 63, and 24 (required)
Bachelor's degree
Strong judgment, analytical skills, and ability to manage complex regulatory matters
Excellent written and verbal communication skills
Experience managing or mentoring junior compliance staff
Preferred
Exposure to swap products and broader capital markets offerings
Ability to balance regulatory requirements with business objectives
High attention to detail with a proactive, solution-oriented mindset
Proficiency in Excel, PowerPoint, and Microsoft Office
Company
Employvision Inc.
Employvision is a talent acquisition and management solutions company delivering services that enable its clients to win in the changing work environment.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Monali Geria
Co-Founder and Business Partner
Arav Geria
Strategic Alliances and Partnerships Associate
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