Latest Broker Dealer Compliance jobs in New York, NY

49 Broker Dealer Compliance Jobs in New York, NY

Senior Compliance Officer Chardan - New York, NY, United States broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: FINRA, SIPC, NASDAQ and the NYSE Arca, Inc. Chardan is seeking an experienced Compliance professional Yesterday
Financial Services Compliance & Regulatory Attorney Direct Counsel - New York, NY, United States ., San Francisco or Seattle. Responsibilities: Provide legal counsel on compliance and regulatory issues in the financial services sector Work with registered investment advisors and broker-dealers Yesterday
Liquidity Risk Management – Associate / AVP Mizuho Americas Services LLC - New York, NY subsidiaries such as the broker dealer and derivative trading entities. The candidate will work within Mizuho Americas Liquidity Risk Management, a 2nd line function reporting to the US CRO. The candidate 3 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 3 days ago
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Swap Dealer Compliance Associate Phaxis - New York, NY, United States Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance 6 days ago
Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets - Vice President Deutsche Bank - New York, United States and transactions is essential Functional knowledge of FINRA, SEC, broker dealer regulations and other relevant bank regulations; knowledge of Regulation M, SEC 10b-18 and 10b5-1 as well as industry best practices salary range for this position in New York City is $125,000 to $203,000 2 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 6 days ago
Fixed Income Product Manager/Trader Ascendo Resources - , NY, United States procedures and portfolio guidelines. Cultivate relationships with the broker/dealer community to obtain competitive bids and offers, enhance new issue allocations, gather market intelligence, and serve 8 days ago
Control Room / Research Compliance - Investment Bank Larson Maddox - New York, United States . Coordinate Compliance issue management, escalation, and reporting. Profile The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker USD11000 - USD160000 per annum 3 days ago
E-Communications Compliance Surveillance Analyst North Bridge Staffing Group - New York, NY, United States of financial markets. Experience in Broker-Dealer, Investment Advisor, or Banking compliance is advantageous. Ability to work creatively in ambiguous situations, multitask, and meet deadlines. Strong written 10 days ago

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