Compliance, GBM Public - Electronic Trading Compliance, Vice President, New York
LateralNew York, New York, United States
Posted April 1, 2026
Full Time
About the Company
Lateral delivers full-service technology solutions, adding business value through design, implementation and consulting services.
Job Description
Job Description Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance.
Requirements
- An undergraduate degree
- Knowledge of broker-dealer regulatory compliance including FINRA, NYSE and SEC regulations
- At least 3 or more years of relevant work experience preferably in risk management, electronic trading product management or trading technology
Benefits
- Diversity and inclusion in the workplace
- Opportunities to grow professionally and personally
- Benefits, wellness and personal finance offerings and mindfulness programs