Compliance Director – Equity Sales, Trading

Piper Sandler

Director of Compliance leading regulatory oversight for Equity Sales & Trading at Piper Sandler. Ensure adherence to securities laws and regulations while providing real-time compliance guidance to trading desks.

Posted 5/30/2026full-timeMinneapolis • Minnesota, New York • 🇺🇸 United StatesLead💰 $150,000 - $200,000 per yearWebsite

About the role

Key responsibilities & impact

Provide real-time compliance guidance to Equity Sales & Trading desks regarding regulatory requirements and firm policies
Stay abreast of the local and global regulatory environment and work closely with other Legal and Compliance leads to ensure the firm’s adherence to pertinent securities laws and regulations
Monitor and advise on rules related to Regulation SHO, Regulation NMS, Rule 15c3-5 (Market Access Rule), and FINRA Rule 2111 (Suitability)
Partner with Equity Supervision to maintain robust surveillance programs to detect potential market abuse, including insider trading, wash sales, marking the close, and other manipulative trading practices
Oversee the review of electronic communications (e-comms) and trade exception reports to ensure adherence to firm and regulatory standards
Perform supervisory control testing of order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, OATS, Rule 606, etc.)
Coordinate and update policies, procedures, processes, and relevant reviews to align with business needs and applicable rules and regulations
Draft, update, and maintain the firm’s Written Supervisory Procedures (WSPs) and Compliance Manuals relevant to Equity Sales & Trading
Develop and deliver targeted compliance training programs to front-office personnel regarding regulatory updates, conflicts of interest, and ethical trading practices
Act as a primary point of contact for regulatory inquiries, examinations, and investigations (SEC, FINRA, etc.)

Requirements

What you’ll need

Bachelor’s degree
10+ years of relevant experience
Series 4, 7, 24, 57, 63 securities licenses or ability to obtain within 12 months
Strong understanding of SEC and FINRA rules, specifically those governing institutional equity sales & trading
Experience with trade surveillance systems and data analytics tools
Exceptional communication skills, with the ability to translate complex regulatory requirements into actionable business advice in oral and written form
Must be work authorized in the United States on a full-time basis without the need for employer sponsorship now or in the future

Benefits

Comp & perks

Employee health, well-being, and benefits program

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

regulatory compliancetrade surveillancedata analyticssupervisory control testingorder handlingexecutiontrade reportingwritten supervisory procedurescompliance manualsregulatory training

Soft Skills

communicationadvisorycollaborationproblem-solvingtrainingattention to detailanalytical thinkingorganizational skillsinterpersonal skillsleadership

Certifications

Bachelor’s degreeSeries 4 licenseSeries 7 licenseSeries 24 licenseSeries 57 licenseSeries 63 license