6 Compliance Officer Broker Dealer Jobs in Greenwich, CT
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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 2 days ago
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Senior Compliance Officer Chardan - New York, NY, United States of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm. · Highly organized self-starter with excellent judgment and strong attention to detail Broad 4 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 11 days ago
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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 6 days ago
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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 9 days ago
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Compliance, Federation Compliance - Regulatory Transaction Reporting, Vice President 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 23 days ago
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