Lead, Broker Dealer Compliance - New York

Our client, a leading global investment bank, is looking to add an experienced Compliance professional with at least 5 years of broker-dealer experience. · ...

Our client, a leading global investment bank,is looking to add an experienced Compliance professional with at least 5 years of broker-dealer experience. · ...

Gemini es una plataforma global cripto y Web3 fundada por Cameron y Tyler Winklevoss en 2014 que ofrece productos e servicios cripto seguros para individuos e instituciones. · We envision a world where crypto reshapes the global financial system, · internet and money to create gr ...

Seeking experienced compliance professionals to oversee regulatory governance and drive exam readiness for Broker Dealer firm. Two open positions available: Compliance Analyst (Governance / Compliance Ops) and Senior BD Coverage. · Owning trackers, governance cadence, metrics/rep ...

JonesTrading Institutional Services LLC is seeking a Compliance Specialist to support broad-based compliance coverage for its institutional trading and sales divisions. · ...

JonesTrading Institutional Services LLC, an institutional broker-dealer, seeks a Compliance Specialist responsible for broad-based compliance coverage supporting nearly all aspects of the firm's businesses. · ...

A large financial institution is seeking a compliance professional to join a senior advisory function. · ...

We're looking for a compliance professional to join our team supporting broker-dealer regulatory governance within a large financial services organization. · Experience in broker-dealer compliance or regulatory advisory roles · Strong knowledge of U.S. securities laws and regulat ...

The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized compliance support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements. · ...

The CPAD Advisory Function provides centralized compliance support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function coordination, governance and reporting. · Provide compliance advice and credible challenge to business ...

We are seeking a Compliance Officer to assist in running the compliance programs of our CFTC-registered Swap Dealer (SD) and SEC-registered Security-Based Swap Dealer (SBSD). · Maintain and enhance the compliance program consistent with Commodity Exchange Act and CFTC Part 23 req ...

We are seeking a Compliance Officer to assist in running the compliance programs of our CFTC-registered Swap Dealer (SD) and SEC-registered Security-Based Swap Dealer (SBSD). The ideal candidate will bring at least 7 years of relevant experience and a deep understanding of swap d ...

+We are seeking a seasoned compliance officer to build a Security Based Swap Dealer ( ...

StoneX is establishing and implementing a Security Based Swap Dealer (SBSD) program within their current institutional broker dealer. The Firm seeks a seasoned compliance officer that has prior securities and swap dealer experience. · ...

The SMBC Compliance Advisory Function resides within Compliance Department Americas Division and provides compliance advice guidance and credible challenge to SMBC's businesses and support functions in the Americas Division. · Provide compliance advice and credible challenge to b ...

We are seeking a Senior Compliance Officer to join our team. The successful candidate will have prior experience in security-based swap dealer compliance and be able to work collaboratively with internal stakeholders. · Serve as the leader in all aspects of compliance associated ...

+The SMBC Compliance Advisory Function resides within Compliance Department Americas Division ("CPAD") and provides compliance advice, guidance, · and credible challenge to SMBC's businesses and support functions in the Americas Division. · +Provide compliance advice and credible ...

The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk. · ...

Serve as the leader in all aspects of compliance associated with the SBSD and partner with various business units to aid in achieving their objectives post approval and implementation. · ...

A rapidly growing Financial Services firm is seeking a Chief Compliance Officer for a full-time position. · Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer. · ...