Larson Maddox · 1 week ago
Senior Compliance Associate, International Sales
New York, NY
Full-time
Hybrid
Mid, Senior Level
$11K/yr - $125K/yr
4+ years expLarson Maddox is a global financial institution seeking a Senior Compliance Associate to support its International Sales and Sales Trading functions. The role involves providing compliance coverage for cross-border equity activities, reviewing international offerings, and ensuring adherence to U.S. securities regulations.
ConsultingHuman ResourcesRecruitingStaffing AgencyTraining
Hiring Manager
Olivia Karson
Responsibilities
Evaluate marketing materials and other communications directed to U.S. investors related to Equity Capital Markets and international sales activity, ensuring alignment with SEC and FINRA requirements
Review sales and trading activity conducted under SEC Rule 15a‑6 arrangements with foreign affiliates
Coordinate with supervisory teams and global Control Room personnel on wall‑crossing requests and related recordkeeping
Provide ongoing regulatory guidance to U.S. and international sales and trading teams
Develop and deliver targeted compliance training on new regulations, policy changes, and emerging risks
Collaborate with technology and business partners to enhance and automate compliance processes
Support management in implementing action plans to strengthen regulatory controls
Present compliance updates and insights during regular meetings with Sales & Trading personnel
Communicate clearly with stakeholders across all levels to identify and address potential compliance issues
Qualification
Required
Bachelor's degree
Minimum of four years of experience in a compliance or regulatory role
Experience working with Sales & Trading teams within a U.S. broker‑dealer
Strong understanding of regulatory requirements related to communications and marketing materials
Preferred
Legal training or direct regulatory experience
Broader familiarity with broker‑dealer compliance frameworks
Company
Larson Maddox
Larson Maddox is a legal recruitment agency that offers staffing, training, and consulting services.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Jake Knowlton-Parry
Managing Director - Global Head of Regulatory & Legal
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