Latest Broker Dealer Compliance jobs in Greenwich, CT

42 Broker Dealer Compliance Jobs in Greenwich, CT

Broker Dealer Compliance The PeterSan Group and PeterSan Legal Staffing - New York, NY, United States and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing. Qualifications 5-8 years of experience, preferably with both broker dealer 12 days ago
Wealth Management Advisor Equitable Advisors - Stamford, CT, United States powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial 14 days ago
Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance Scotiabank - New York City, NY, US for our clients across industries! We work together to drive ambition for every future! Purpose: Acts as the Chief Compliance Officer for the U.S. broker dealer and Head of Corporate Functions Compliance, The role 11 days ago
Chief Compliance Officer, Broker-Dealer Simmons & Hanbury - , NY, United States Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements. Primary Accountabilities 19 days ago
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Financial Services Professional Equitable Advisors - Secaucus, NJ, United States powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial 28 days ago
Chief Financial Officer BestEx Research - Stamford, CT compliance with regulatory requirements Responsibilities: Oversee and manage the monthly billing process for our SaaS and broker-dealer clientele Conduct thorough reviews and approvals of all invoices. Provide More than 30 days ago
Financial Advisor Equitable Advisors - Secaucus, NJ, United States powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial 2 days ago
Risk Compliance Officer - Hybrid in Jersey City or Dallas! Phaxis - Jersey City, NJ, United States Growing Clearing Broker Dealer is seeking a strong surveillance candidate to join their compliance team as a Risk Compliance Officer. Hybrid in *EITHER* Jersey City, NJ or Dallas, TX Qualifications Yesterday
In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer In House Jobs | JDHuntr - New York City, NY In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer 20 days ago
Compliance Manager 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 6 days ago

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