Associate / AVP, LSI Compliance, North America New York, NY | Competitive Annual Salary ($125,000 to $150,000) About the role Ready for your next big career move? This is your opportunity to join a dynamic and collaborative team where your expertise will truly matter. We’re seeking a talented professional for an exciting role based in New York, offering a highly competitive salary and the chance to make a real impact. If you’re looking for a position that values your contribution and supports your growth, we encourage you to read on and discover why this could be the perfect fit for you.
The opportunity Seize the chance to work in a forward-thinking environment where innovation, integrity, and collaboration are at the heart of everything we do. You’ll be empowered to take ownership of your projects, develop your skills, and work alongside industry leaders who are invested in your success. Join us to help shape the future of compliance and make your mark within a well-respected global banking group.
Entity Overview: Lloyds Securities Inc. (LSI), a FINRA and SEC registered broker-dealer, is the US securities affiliate of Lloyds Bank Corporate Markets, plc UK (LBCM). LSI and LBCM are part of Lloyds Banking Group, which offers commercial banking and risk management services to large domestic and multinational businesses with a presence in the US and the United Kingdom. LSI Compliance is the advisory team for US global markets businesses, including Debt Capital Markets, Bond Syndicate, Private Placements, Risk Management Solutions, FX, Rates, and Credit Sales and Trading. LSI acts as a U.S. chaperoning broker dealer for its foreign affiliate LBCM under SEC Rule 15a-6.
Role Overview: The right candidate will play an active role in supporting LSI’s Chief Compliance Officer in implementing and maintaining LSI’s broker-dealer compliance program and advising US global markets businesses. The ideal candidate will have knowledge of applicable SEC and FINRA regulations, be highly motivated and organized, and able to work both independently and as part of a team. This position requires attention to detail, capability in handling a diverse workload, prioritizing tasks in a fast paced corporate environment, and flexibility to support both the LBCM North America and UK Compliance teams with tasks outside those listed here.
What you’ll be doing
What you’ll bring
Why Lloyds Lloyds North America forms an integral part of Lloyds Banking Group, a leading UK‑based financial services group focused primarily on retail and commercial customer. We have operated in North America for over 100 years, delivering a client‑focused approach to large Corporate and Institutional clients with strong links to the UK.
From our New York office, we provide a comprehensive range of core banking products, including lending, trade finance, and working capital solutions, alongside debt global markets services through our U.S. broker‑dealer, Lloyds Securities Inc.
Our commitment to inclusion At Lloyds, diversity and inclusion are core to who we are. We are committed to attracting, retaining, and developing the best talent and creating a culture where every colleague feels included, valued, and empowered to be their best.
Lloyds values diversity across all backgrounds and experiences and encourages our colleagues to bring their whole self to work. We provide equal employment opportunities to all applicants and employees in accordance with applicable law.
Reasonable Accommodations for Qualified Individuals with Disabilities During the Application Process
Our benefits We also offer a wide‑ranging benefits package, which includes:
This is a once in a career opportunity to help shape your future as well as ours. Join us and grow with purpose.
Annual Salary Range: $125,000 to $150,000
Professional Certifications / Licenses Required: Series 7 or 14 a plus, but not required
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