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. · ...

A leading broker-dealer in NYC is looking to hire a Compliance Officer. An ideal candidate will have prior broker-dealer compliance experience and will be FINRA licensed and CAMS licensed. · Day to day you will: · Develop and update compliance policies and WSPs. · Manage AML mo ...

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

The Broker-Dealer Compliance Specialist will support internal assessments by conducting reviews and targeted assessments of broker-dealer operations with a strong emphasis on compliance with FINRA rules and SEC regulations. · Lead internal assessments of broker-dealer functions f ...

A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker-dealer compliance role. This position sits on a small team so will be a compliance generalist. · Day to day you will: · Assist with surveillance ...

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

The Broker-Dealer Compliance Specialist will support internal assessments by conducting reviews and targeted assessments of broker-dealer operations, · Lead internal assessments of broker-dealer functions... · ...

An esteemed financial institution is seeking a Broker-Dealer Compliance Officer for its New York team. In this role, you'll help strengthen a robust compliance framework and shape key policies that uphold top regulatory standards. The firm offers comprehensive training, flexible ...

Gemini is seeking a dynamic self-starter to lead our broker-dealer compliance program. · ...

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 ...

Broker-Dealer Compliance Officer · **role can sit in New York City OR Miami** · Key Responsibilities · Assist with the creation and maintenance of compliance frameworks, policies, and procedures supporting U.S. broker-dealer regulatory obligations. · Coordinate preparation and re ...

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. · ...

Onsite 7 days a month (can sit in NYC or Jersey City) · Assisting the CCO and collaborating with the Compliance team across the shared services compliance function to provide compliance services to various regulated entities · Intake and management of responses to regulatory exam ...

Onsite 7 days a month (can sit in NYC or Jersey City) · Assisting the CCO and collaborating with the Compliance team across the shared services compliance function to provide compliance services to various regulated entities · Intake and management of responses to regulatory exam ...

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 ...