Sales & Trading Compliance Specialist

Business and Financial Operations

New York, NY

Job Overview

Cowen is currently seeking a Sales & Trading Compliance Specialist for its US team located in the tri-state area.  The position is a Supervisory role and hybrid working environment; primary office is flexible between our NY, NJ and CT locations.


  • Supervisory role responsible for high and low touch Equities, Fixed Income and Derivatives.:
    • Establishing, maintaining, and enforcing Written Supervisory Procedures
    • Performing associated surveillance reviews,
    • Interacting with regulatory bodies, both examination and normal course inquiries,
    • Reviewing and approving Sales Literature,
    • and any other tasks that may be requested.
  • Effectively utilize systems, both internal and external, to perform job function and maintain accurate records.
  • Familiar with FINRA and SEC rules and regulations as they apply to US registered broker dealers.
  • Familiarity with reporting processes such as CAT and TRACE.
  • Communicate regularly with managers, salespeople, and other designated contacts within the organization.
  • Perform other duties and responsibilities, as assigned.

Job Requirements/Qualifications:

  • Bachelor’s degree in Business, Finance, Accounting, Economics, or related discipline.
  • 6+ years’ experience in a US broker dealer Compliance Department with preferred experience with Sales & Trading businesses.
  • Series 7 & 24 are required, must have or be willing to get after joining the Firm.
  • Responsible, motivated, highly organized and detail oriented.
  • Demonstrated ability to effectively problem solve and maintain composure under pressure.
  • Strong written and communication skills.

We are an Equal Opportunities Employer.

Who We Are

Cowen Inc. (“Cowen” or the “Company”) is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide.

At Cowen, inclusion and diversity are catalysts for success and innovation in everything we do. We pride ourselves on our empathetic and collaborative culture, where the power of diversity is harnessed to transform the status quo. Our focus on inclusion expands our thinking in order to generate better outcomes for clients, while striving to increase fairness and equity for our colleagues. Cowen’s vision of creating a more inclusive and equitable future is supported by our core values and is essential to our ability to outperform.

Our Values

  • Vision: We consistently deliver differentiated and disruptive insights that help our clients outperform
  • Empathy:  We proactively consider and account for the priorities and concerns of our colleagues and clients
  • Sustainability: We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time
  • Tenacious Teamwork: We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.

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Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an or email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.