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chief compliance officer broker dealer trading jobs

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Toussaint Capital Partners LLC - Freehold, NJ

Municipal Principal- Part-time Consultant for a Broker Dealer. Work with the firm’s Chief Administrative Officier and the back office operation's team to ensure...

SUNGARD FINANCIAL SYSTEMS - Jersey City, NJ

Prospect, qualify, and close new business opportunities within assigned territory • Coordinate Discovery Calls, Prep Calls, Dry Runs and Power Point...

Michael Page US - New York, NY

The Head of Compliance. Provide advisory assistance to sales & trading. 10-20 years plus experience required in regulatory compliance....

Michael Page US - New York, NY

Strong Broker Dealer background. Assist the Chief Compliance Officer in creating and conducting annual training, which will include BSA/AML....

Hancock Bank - New Orleans, LA

Experience within a bank-based broker dealer strongly preferred. This position is primarily responsible for providing strategic leadership for Hancock...

Matrix Capital Group - Kansas City, MO

Hands on role in a small FINRA/SEC registered broker dealer focusing on mutual fund distribution and private placements....

RAYMOND JAMES FINANCIAL - Tampa, FL

Investigating compliance issues. Ensures that procedures are appropriately documented and referenced in the firm’s compliance manuals and written supervisory...

Investment Professionals, Inc. - San Antonio, TX

The Chief Compliance Officer will develop, train, and manage an effective compliance team to maintain the overall compliance program and ensure the firm's...

AIG - Wilton, CT

(AIG) has an opportunity for a Senior Compliance Manager - Chief Compliance Officer and Global Capital Markets....

PricewaterhouseCoopers LLC - Chicago, IL

Broker Dealer recordkeeping requirements. Assisting the chief compliance officer with the review of client engagement documentation and marketing materials....


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