Compliance Officer Broker Dealer Jobs

Leeds Professional Resources - Miami, FL, United States

Exciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth! Hybrid work schedule. Responsibilities: Risk

from: linkedin.com - 20 days ago

Chardan - New York, NY, United States

of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm. · Highly organized self-starter with excellent judgment and strong attention to detail Broad

from: linkedin.com - Yesterday

Skanska USA - Seattle, Washington

Officer (UDCO) or Project Manager, as determined. The DBE Compliance Manager will ensure program compliance through a review of the DBE subcontractors, suppliers (regular dealers), manufacturers, truckers

from: resume-library.com - 7 days ago

DWS Group - New York, NY, United States

as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor. • Fluent in all FINRA and SEC issues and concerns. • Demonstrated expertise with financial services regulatory schemes

from: linkedin.com - 3 days ago

Lime Trading - New York, NY, United States

Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading

from: linkedin.com - 6 days ago

Bloomberg - New York, United States

Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team Competitive

from: efinancialcareers.com - 8 days ago

Larson Maddox - Chicago, IL, United States

We are seeking a seasoned Global Compliance Officer with over 10 years of demonstrated expertise in the financial services industry, specializing in Futures Commission Merchants (FCMs) and Broker

from: linkedin.com - 10 days ago

JCW - New York, NY, United States

Title: Crypto Compliance Officer Location: New York, NY (hybrid) Company: Broker Dealer in the Crypto Sector A large broker-dealer is seeking a skilled and experienced Crypto Compliance Officer

from: linkedin.com - 17 days ago

Resolute Investment Managers - Irving, TX 75039, USA

, and other applicable regulatory agencies. Key Responsibilities Assists the Chief Compliance Officer in developing compliance policies and procedures to ensure the organization's activities comply

from: applicantpro.com - 26 days ago

Oak Ridge Financial - Golden Valley, MN, United States

skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser

from: linkedin.com - 19 days ago