Compliance Officer Broker Dealer Jobs in New York

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

from: linkedin.com - 27 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

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

from: get.it - 28 days ago

Phyton Talent Advisors - New York, NY, United States

: - Provide status updates and activity reports to senior compliance officers and other key stakeholders. - Manage projects and participate in firm-wide initiatives and training programs. 5. Additional

from: linkedin.com - 6 days ago

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

from: efinancialcareers.com - 16 days ago

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

from: Scotiabank - 19 days ago

Hold Brothers - New York County, New York (+1 location)

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

from: resume-library.com (+1 source) - 21 days ago

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

from: get.it - More than 30 days ago