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Equity Compliance Jobs (NOW HIRING)

First Hawaiian, Inc.

Equity Trader & Analyst

Honolulu, HI · On-site

$70K - $90K/yr

The role contributes to analytical and compliance functions that support the overall operations of ... Three (3) years of experience in equity trading, equity portfolio management, or related experience ...

First Hawaiian, Inc.

Equity Trader & Analyst

Honolulu, HI · On-site

$70K - $90K/yr

The role contributes to analytical and compliance functions that support the overall operations of ... Responsibilities Executes equity, ETF, and mutual fund trades as directed by Investment Officers ...

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Equity Compliance information

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$31.5K

$98.9K

$207.5K

How much do equity compliance jobs pay per year?

As of Aug 6, 2026, the average yearly pay for equity compliance in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What is the difference between Equity Compliance vs Equity Analyst?

AspectEquity ComplianceEquity Analyst
Required CredentialsLegal or compliance certifications, knowledge of securities lawsFinance or investment-related degrees, CFA often preferred
Work EnvironmentRegulatory departments, legal teams, corporate complianceInvestment firms, asset management, financial analysis
Employer & Industry UsageFinancial institutions, corporations, regulatory agenciesInvestment banks, asset managers, research firms

Equity Compliance focuses on ensuring companies adhere to securities laws and regulations, often working within legal or compliance departments. In contrast, an Equity Analyst analyzes financial data to provide investment recommendations. While both roles require financial knowledge, Equity Compliance emphasizes regulatory adherence, whereas Equity Analysts focus on market analysis and valuation.

What are the key skills and qualifications needed to thrive as an equity compliance professional, and why are they important?

To thrive as an Equity Compliance professional, you need expertise in regulatory requirements, risk assessment, and compliance management, often supported by a degree in law, business, or a related field. Familiarity with compliance software, auditing tools, and certifications like Certified Compliance & Ethics Professional (CCEP) is valuable. Strong analytical thinking, attention to detail, and effective communication are crucial soft skills for success in this role. These abilities ensure that organizations adhere to equity regulations, mitigate risks, and maintain ethical standards.

What are some common challenges faced by professionals in equity compliance roles and how can they be addressed?

Professionals in Equity Compliance often face the challenge of staying current with evolving regulations and ensuring that their organization adheres to complex legal standards regarding fairness and anti-discrimination. Another common issue is effectively communicating compliance requirements to diverse teams and ensuring consistent implementation across departments. Building strong relationships with HR, legal, and management teams helps facilitate collaboration and address issues proactively. Regular training, process audits, and leveraging compliance management tools can also help in overcoming these challenges and maintaining a culture of equity within the organization.

What is equity compliance?

Equity compliance refers to the practices and processes organizations use to ensure they are following laws, regulations, and internal policies related to fairness, equal opportunity, and nondiscrimination. This can include monitoring hiring, promotion, pay, workplace accommodations, and other employment practices to prevent discrimination based on race, gender, age, disability, and other protected characteristics. Professionals in equity compliance help organizations create inclusive environments and reduce legal risks by staying up to date on changing regulations and implementing best practices. Their work is crucial for achieving workplace fairness and upholding civil rights.
More about Equity Compliance jobs
What cities are hiring for Equity Compliance jobs? Cities with the most Equity Compliance job openings:
What states have the most Equity Compliance jobs? States with the most job openings for Equity Compliance jobs include:
What job categories do people searching Equity Compliance jobs look for? The top searched job categories for Equity Compliance jobs are:
Equity Compliance jobs near you
Infographic showing various Equity Compliance job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 82% Full Time, 12% Part Time, and 5% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Global Banking Equity Capital Markets Compliance Coverage

UBS - Experienced professionals - job boards

New York, NY • On-site

Other

Posted 23 days ago

UBS rating

8.8

Company rating: 8.8 out of 10

Based on 42 frontline employees who took The Breakroom Quiz

16th of 170 rated banks

Job description

Are you risk-aware with strong independence and judgment. Can you assess risks in a fast-paced environment and provide clear guidance. As a Global Banking compliance specialist, you'll deliver day-to-day advice on policies and regulations across the business, including:
lead coverage and oversight for the Equity Capital Markets business within Global Banking, including private capital markets and convertibles origination
coordinate within the team to support Global Banking Americas, providing consistency and backup across debt and leveraged finance capital markets and other areas
support business growth and change initiatives across capital markets, including post-settlement advisory, special equity solutions, and collaboration with Global Wealth Management
partner with senior management across Global Banking and stakeholders in Compliance, Legal, Risk, and Conflicts to provide guidance and effective challenge
support expansion of the early-stage company network to drive growth in equity capital markets
represent Compliance in global, regional, and cross product committees, contributing thought leadership
act as a subject matter expert on laws, rules, and regulations, working with global peers across research, markets, and control room functions to ensure consistency
support adherence to SEC and FINRA requirements, including Regulation M, IPO rules (5130/5131), Rule 5190, TRACE reporting, and information barrier and conflicts management
participate in approval committees for higher risk clients or ECM transactions
draft and maintain policies, procedures, and training materials
guide and support junior team members
advise supervisors on first line responsibilities
support regulatory exams and inquiries
complete compliance risk assessments and evaluate control effectiveness
perform thematic reviews to identify emerging risks.

What UBS employees say

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Benefits

Hours and flexibility

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About UBS

Sourced by ZipRecruiter

We want to create superior value for our clients, shareholders and employees. And we want to stand out as a winner in our industry for our expertise, advice and execution, our contribution to society, our work environment and our business success.

Industry

Securities, commodity contracts, and financial investments

Company size

10,000+ Employees

Headquarters location

Zürich, ZH, CH

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