Lead, Broker Dealer Compliance - New York

Only for registered members New York, United States

3 weeks ago

Default job background
$112,000 - $160,000 (USD)

About The Company

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 greater choice,
independence and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open,fair and secure.


Lorem ipsum dolor sit amet
, consectetur adipiscing elit. Nullam tempor vestibulum ex, eget consequat quam pellentesque vel. Etiam congue sed elit nec elementum. Morbi diam metus, rutrum id eleifend ac, porta in lectus. Sed scelerisque a augue et ornare.

Donec lacinia nisi nec odio ultricies imperdiet.
Morbi a dolor dignissim, tristique enim et, semper lacus. Morbi laoreet sollicitudin justo eget eleifend. Donec felis augue, accumsan in dapibus a, mattis sed ligula.

Vestibulum at aliquet erat. Curabitur rhoncus urna vitae quam suscipit
, at pulvinar turpis lacinia. Mauris magna sem, dignissim finibus fermentum ac, placerat at ex. Pellentesque aliquet, lorem pulvinar mollis ornare, orci turpis fermentum urna, non ullamcorper ligula enim a ante. Duis dolor est, consectetur ut sapien lacinia, tempor condimentum purus.
Get full access

Access all high-level positions and get the job of your dreams.



Similar jobs

  • Only for registered members New York $85,000 - $150,000 (USD)

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

  • Only for registered members New York City Metropolitan Area

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

  • Only for registered members 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. · ...

  • Only for registered members New York, NY

    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. · ...

  • Only for registered members New York

    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 ...

  • Only for registered members New York $112,000 - $160,000 (USD)

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

  • Only for registered members New York

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

  • Only for registered members New York

    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. · ...

  • Only for registered members New York

    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 ...

  • Only for registered members New York

    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 ...

  • Only for registered members New York

    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 ...

  • Only for registered members New York, NY

    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 ...

  • Only for registered members New York $150,000 - $190,000 (USD)

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

  • Only for registered members New York, NY

    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 ...

  • Only for registered members New York, New York, United States

    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. · ...

  • Only for registered members New York, NY

    +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 ...

  • Only for registered members New York, NY

    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. · ...

  • Only for registered members New York

    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. · ...

  • Only for registered members New York

    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. · ...

  • Only for registered members New York

    A leading global financial institution is seeking a Vice President to join its Internal Audit division with focus on Regulatory Compliance audits. · This team plays a key role in providing independent assurance on the firm's risk management and control environment. · This is a hi ...