Latest Broker Dealer Compliance Officer jobs - JobisJob United States Mobile

13 Broker Dealer Compliance Officer Jobs

Compliance Officer - Broker Dealer 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 18 days ago
Senior AFC & Compliance Officer 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 Yesterday
DBE Compliance Manager 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 5 days ago
Chief Compliance Officer 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 4 days ago
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Global Chief Compliance Officer 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 8 days ago
SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance 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 6 days ago
Crypto Compliance Officer 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 15 days ago
Chief Compliance Officer 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 17 days ago
Compliance Officer Hold Brothers - New York County, New York 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 15 days ago
Compliance and Onboarding Officer 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 20 days ago

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