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Advisory Compliance Officer – Fixed Income Business Line Compliance Country: United States of America Your Journey Starts Here: Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest asset. Our focus is on fostering an...

Capital Markets Associate - Mid‑Level (3-6 Years) Location: New York, NY Compensation: $235,000 - $285,0000 Experience: 3-6 years in public market transactions at a BigLaw or top national firm Why This Role Matters Join a high-impact capital markets group advising both emerging-growth and...

Immediate need for a talented Record Management Professional (CFTC/SEC). This is a 12-18+months contract opportunity with long-term potential and is located in Jersey City, NJ (Hybrid). Please review the job description below and contact me ASAP if you are interested. Job ID: 25-76691 Pa...

Industry: Financial Services Title: Fixed Income Specialist - Compliance & Surveillance Location: NYC Type: Fulltime Must have strong Fixed Income expertise Responsibilities: • Provide real-time advice and guidance to trading and sales force on regulatory implications of daily activity. • D...

Job Description About Daiwa Capital Markets America Inc.: Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exc...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around inn...

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Job Description We are seeking an experienced Compliance Project Manager with extensive expertise in broker-dealer services and financial regulatory compliance to join a high-performing team within a leading Hedge Fund in New York City. This is an exciting 12-month contract opportunity for a seas...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around in...

Job Description About Daiwa Capital Markets America Inc.: Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exc...

Job Description Branch Compliance Manager-Compliance Department Blue Ocean Wealth Solutions, LLC Blue Ocean Wealth Solutions, LLC helps people accomplish their most important financial goals by implementing a customer-centric approach using Insurance, Investment, Retirement and Employee Ben...

Job Description Job Summary: FNC is seeking a motivated Associate to join our Brokered Deposit Funding and Investments team. This role focuses on maintaining and expanding relationships with an institutional client base of Banks and Credit Unions by offering customized funding solutions and inves...

Job DescriptionBroker-Dealer Finance Associate or Staff Attorney Location: New York Direct Counsel is seeking a Broker-Dealer Finance Associate or Staff Attorney to join a prestigious Am Law 100 firm in New York. This position offers the opportunity to work with a leading Broker-Dealer Regulator...

Job Description Job Title: AWS Data Architect (AWS Services & Data) Job Location: Florham Park, NJ/New York/Fort Mill, SC (Hybrid) Key Role: The ideal candidate will bring deep experience in AWS-based data lake and streaming architectures, with the ability to operate across business and tech...

Job Description About Figure Figure is maximizing the value of homeownership in ways that benefit consumers and the industry alike. We're helping homeowners tap their liquidity easily, efficiently and reasonably for purpose-driven, significant expenditures – everything from dream home renovation...

Job Description Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the invest...

Job DescriptionPosition SummarySiebert Financial is seeking an experienced and detail-oriented Operations Settlement Specialist to join our team. The ideal candidate will have 3 to 5 years of experience at a broker-dealer and a strong understanding of day-to-day settlement operations across equit...

Job Description About the Role iCapital is looking for a Compliance Associate candidate to join its Regulatory and Compliance group, focused on broker-dealer compliance. This team member will oversee employee-related compliance matters such as the review and approval of employees outside brokera...

Job Description Optima Partners is looking for a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, real-estate clients, banks and broker...

Job Description About Futu US Inc. Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innova...

Job DescriptionOTC Markets Group Inc Human Resources Business Partner OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking a Human Resources Business Partner (HRBP) to join our Human Resources & Administration team. Pleas...

Job Description About Daiwa Capital Markets America Inc.: Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exc...

Job Description Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge t...

Job Description Position Title: Data Engineer/Developer Reports to: VP, Technology Department: Development and Technology Location: Simplicity Summit Office; 86 Summit Ave, Summit, NJ 07901; In-office Classification: Full-time; Exempt Summary / Job Objective: As a data engineer/developer, y...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around in...

The Senior Regulatory Accountant is responsible for ensuring compliance with regulatory capital and customer protection rules related to the firm's broker-dealer and customer clearing business.

The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale's operations, reporting on the compliance risks and issues to local, regional, and head office management. Participate in regional...

Exciting opportunity at a leading global financial institution with a strong presence in the U.S. capital markets. Due to the success of the firm, the team would like to hire an additional experienced regulatory compliance officer with hands-on-pn program remediation and development, as well as F...

An ideal candidate will have relevant experience at a similar organization with senior compliance responsibilities or is a current chief compliance officer. A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic C...

We are seeking an experienced Compliance Operations Specialist with deep expertise in broker-dealer services and financial regulatory compliance to join a high-performing team within a leading hedge fund in New York City. Oversee and contribute to the setup and expansion of broker-dealer operatio...

Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-comp...

Capital is looking for a Compliance Assistant Vice President or Vice President professional to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment advisers and broker-dealer. There will be a strong focus on marketing ma...

The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale's operations, reporting on the compliance risks and issues to local, regional, and head office management. Lead regional and globa...

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Job Description Client Services Associate Job Description We are seeking a proven and seasoned Client Service Associate to provide support and assistance to financial advisors of Dominari Securities LLC, a dual-registered Broker-Dealer and Registered Investment Advisor. This role is a combina...

Growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework. Prepare and submit timely internal reports on Reg SHO compliance to senior stakeholders. Reg SHO compliance experience at a broker-dealer or clearing firm.

The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale's operations, reporting on the compliance risks and issues to local, regional, and head office management. Familiarity with cleari...

Job Description EDM Marketing Specialist Office Location: Jersey City, NJ About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings...

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around inn...

Job Description Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our m...

Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, Listed Options, Structured Products trading activities as well as knowledge of various regulatory reporting requirements. Provide Compliance Advisory ser...

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. Oversee and manage the firm's compliance framework across all business lines, inclu...

The ideal candidate will be a compliance SME, with a strong background in hedge funds, broker-dealers, or prime brokerage, and an expert understanding of U. We are seeking an experienced Compliance Operations Specialist with deep expertise in broker-dealer services and financial regulatory compli...