Broker Dealer Compliance Officer Jobs

Leeds Professional Resources - Miami, FL, United States

Exciting opportunity for a Senior 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 - 6 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 - 2 days ago

Social Capital Resources LLC - New York County, New York

Job Title: Trade Compliance Officer Job Summary: Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/Officer to join the team. He/she will help

from: resume-library.com - Yesterday

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 - 4 days ago

Creand Wealth Management (Beta Capital) - Miami, FL, United States

Creand Wealth Management is looking for an experienced Compliance & Onboarding Officer for our Brickell office, to be responsible for assisting the Firm in executing the compliance program

from: linkedin.com - 7 days ago

Hold Brothers - New York County, New York (+1 location)

with compliance questions and other needs. Requirements Bachelor’s degree in law, finance, business management or a related field. 3+ years’ proven experience in a compliance officer role and broker/dealer-related

from: resume-library.com (+1 source) - 2 days ago

The Wealth Consulting Group - Las Vegas, NV, United States

to the Chief Compliance Officer of the firm supporting the continued development and operation of the compliance program. JOB DUTIES & RESPONSIBILITIES Ensure the firm’s compliance with WCG and our broker

from: linkedin.com - 11 days ago

Integrity Marketing Group LLC - Dallas, TX, United States

under management and growing, Integrity Wealth through its registered investment advisers, broker-dealers, retirement planning and advisory companies provides cutting edge technology, services, and multi-custodial

from: linkedin.com - 22 days ago

Goldman Sachs - New York, United States

candidate for Federation Compliance will satisfy some or all of the following criteria: At least 5 years of work experience including 3 years as a compliance officer or in a risk management or control Competitive

from: efinancialcareers.com - 5 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 - 11 days ago