Broker Dealer Compliance Jobs in New York, NY

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

from: linkedin.com - Yesterday

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

from: linkedin.com (+1 source) - Yesterday

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

from: Mizuho Americas Services LLC - 3 days ago

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

from: linkedin.com - 3 days ago

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

from: linkedin.com - 6 days ago

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

from: efinancialcareers.com - 2 days ago

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

from: linkedin.com - 6 days ago

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

from: linkedin.com - 8 days ago

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

from: efinancialcareers.com - 3 days ago

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

from: linkedin.com - 10 days ago