Head of Trading Compliance at Maxim Group LLC
Location: Hybrid – Midtown Manhattan / Redbank, NJ - Preferred Primary Office Location in Redbank, NJ
Some remote work flexibility following an in-office onboarding period
Required/Preferred Skills & Licenses: FINRA 7 & 24 required
Job Description:
Maxim Group, a full-service, mid-size broker dealer and investment bank with primary offices in midtown Manhattan, is looking to fill the role of Head of the Firm’s trading compliance function.
Candidates must have deep experience working in equity trading compliance at a broker dealer and market maker. Experience with OTC exchanges strongly preferred.
Candidates will be expected to manage a staff and support all aspects of trading compliance including best execution, market access, Reg SHO, trade reporting, Rule 605/606 disclosure, responding to regulatory inquiries, intake of new trading rules and regulations, training and advising the trading desk on regulatory matters, and participating in yearly regulatory exams.
Equity trading compliance required – fixed income trading compliance a plus.
While headquartered in New York, Maxim’s primary equity trading operation is located in Redbank, NJ.
Compensation: 175k-225k annually w/ performance-based bonus structure.
