Broker Dealer Compliance Jobs in New York, NY

Hamlyn Williams - , NY, United States

Client: Leading Investment Management Firm (IPO) Location: New York City or Dallas - Hybrid Role / Requirements: Series 7, 24 RIA and/or broker-dealer compliance experience Previous exposure to RIAs

from: linkedin.com - 7 days ago

Lime Trading - New York, NY, United States

experience with a broker dealer/financial services firm in a similar role. Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions

from: linkedin.com - 4 days ago

Hold Brothers - New York, NY

Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery of expert advice to broker dealers 110,000 - 150,000

from: workable.com - 9 days ago

Solomon Page - New York, NY, United States

We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Our client is a full-service, integrated financial services firm that provides investment guidance

from: linkedin.com - 6 days ago

Coda Search│Staffing - New York, NY, United States

with a registered US broker dealer or regulator.

from: linkedin.com - 5 days ago

Morgan Stanley - New York, United States

in a timely manner > Knowledge of broker-dealer regulatory compliance, including SEC, FINRA and other SRO rules and regulations > Candidate should be a motivated self-starter, proficient in time management between $110,000.00 and $190,000.00 at the commencement of employment

from: efinancialcareers.com - Yesterday

BBVA - , NY, United States

compliance with regulatory requirements and internal policies and procedures. - Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management

from: linkedin.com - 9 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 - 8 days ago

CICC - New York, United States

to identify red flags in AML/market manipulation and relevant customer information; Support firm-wide projects as needed; Qualifications 2-5 years of Compliance experience in the US broker-dealer firms $N/A

from: efinancialcareers.com - 6 days ago

Partnership Employment - New York, NY, United States

certification (e.g., CFA, CAMS, CRCM) is a plus. Minimum of 10 years of experience in trade surveillance, compliance, or a relevant area within the financial services industry, preferably within a broker-dealer

from: linkedin.com - 7 days ago