19 Compliance Officer Broker Dealer Jobs - page 2
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Senior Compliance Officer - Institutional Sales Coverage Deutsche Bank - New York, United States required. 5 to 7 years of compliance experience with experience as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor. Fluent in all FINRA and SEC issues and concerns salary range for this position in New York City/California is $116,250-$200,000 4 days ago
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Trade Compliance Officer Hold Brothers - New York, NY 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 with the delivery of expert advice to broker dealers 110,000 - 150,000 10 days ago
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Compliance Officer Allspring Global Investments - Menomonee Falls, WI / Boston, MA / Charlotte, NC with the streamlining of the marketing review process. RESPONSIBILITIES Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications 14 days ago
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In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY In House Jobs | JDHuntr - New York City, NY In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer and alternative trading systems 19 days ago
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In House Counsel Jobs | JDHuntr 37764 Chief Compliance Officer (remote), Portland, OR In House Jobs | JDHuntr - Portland, OR In House Counsel Jobs | JDHuntr 37764 Chief Compliance Officer (remote), Portland, OR\ To apply go to JDHuntr.com \ Lead the companys broker-dealer Compliance team and program. Develop and implement 21 days ago
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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 23 days ago
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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 24 days ago
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In House Counsel Jobs New York | JDHuntr 43511 Chief Compliance Officer (Remote), San Francisco, CA In House Jobs | JDHuntr - San Francisco, CA In House Counsel Jobs New York | JDHuntr 43511 Chief Compliance Officer (Remote), San Francisco, CA To apply go to JDHuntr.com Develop and implement policies and procedures designed to meet More than 30 days ago
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Analyst / Sr. Analyst, Compliance (Broker Dealer) 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 More than 30 days ago
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