Are you a business? Hire broker dealer compliance candidates in New York, NY
Adequate understanding of the private funds sector, broker-dealers, or related industries. SEC-registered investment adviser or FINRA broker-dealer. ...
URGENT HIRE: HEAD OF REGULATORY AFFAIRS. We have partnered with a large Broker-Dealer offering IB, M&A, research, sales, and trading services in search of a Head of Regulatory Affairs to join the growing compliance team. ...
A broker-dealer client of ours with a global presence is looking for a Surveillance Compliance Officer to join their growing team in Manhattan, New York. Perform electronic communications (e-comm) surveillance reviews of both Trade and Voice communications for both the Broker-Dealer and FCM (Futu...
A prominent Broker-Dealer client of ours is seeking to grow their compliance function by adding an FCM (Futures Commission Merchant) Compliance Officer to their team. Support broader compliance function by providing regulatory compliance guidance from an advisory capacity for the FCM, IBs (introd...
Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securit...
We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Advise and provide support to relevant business units on compliance issues specific to account onboarding and trading of institutional and entity accounts. Review policies and procedures to ensure comp...
This individual will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance team with various compliance focused tasks, including updates to policies and procedures an...
The USBD CCO is primarily responsible for: 1) administering CIBC’s policies and procedures relating to its US Capital Markets business, including as a US registered broker-dealer; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, CFTC, NFA and all other relevant SRO regulatory...
This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head of Compliance. Maintain and enhance the company’s BD and RIA compliance program. Develop, implement, and maintain Forge’s broker-dealer and RIA compliance programs. Manage a staff of e...
Relevant experience providing compliance or legal coverage to a sales or trading Rates desk at a broker/dealer working on or providing trade/sales support to such a desk. Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates. You will focus on providing real-time ...
US Broker Dealer operations, front office, or regulatory/compliance roles. ...
As FINOP, you will be responsible for the regulatory financial reporting and compliance for the Company’s Broker-Dealer. You will focus on the Finance team’s reporting infrastructure and make sure the Broker-Dealer unit is equipped to scale and support the firms growth strategy. Work on day-to-da...
Currently partnered with a growing self-clearing Broker Dealer looking for a. Prepare financial statements and maintain records for the Broker-Dealer in compliance with GAAP, ensuring all regulatory reporting obligations are fulfilled. Cultivate and maintain relationships with key external entiti...
A leading global investment firm with $100b AUM is looking to hire an Executive Director Broker Dealer Compliance. This is a key position in the business that will report directly to the Chief Compliance Officer and be solely responsible for the continued buildout and management of the firm's new...
A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance. The Associate Director - Broker Dealer Compliance will:. Assist broker-dealer clients through regulatory exam...
Full compliance support for Vestwell's banking/savings offerings, trust company, IRAs, and Broker-Dealer products * Build and manage a compliance function to support these growing parts of Vestwell ...
Broker dealer located in Midtown Manhattan looking to bring on board a “Director Fixed Income & Municipal Bond Securities Compliance” to join their team. Manage Compliance personnel supporting the Fixed Income and Municipal Securities Business lines. Provide day to day advice across all FI and Mu...
High-end consulting firm located in Midtown Manhattan looking to bring on board a “Senior Director/ MD Broker Dealer Compliance” to join their team. ...
Reporting into the Enterprise Chief Compliance Officer, this is a leadership role within SoFi’s Compliance organization. Broker dealer and RIA, Aadvise the Compliance and Legal teams on emerging compliance issues, regulatory changes, and new rules, and consult and guide the company in the esta.....
Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered ...
Broker dealer located in Midtown Manhattan looking to bring on board a “Director, Prime Brokerage Compliance Advisor” to join their team. Provide Compliance support to US Prime Brokerage business in developing appropriate controls and procedures to mitigate business and product specific regulator...
The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/O...
