1 - 10 of 376

broker dealer compliance officer jobs near New York, NY


  • Senior Compliance Officer

    Efinancial Careers

    - New York City , NY

    with all aspects of Broker/ Dealer compliance helpful. Responsibilities Include: ... experience A leading Prop Trading Firm & Broker Dealer is seeking a Compliance Officer...

    25 days ago from eFinancial Careers
  • Senior Compliance Officer

    NEW

    Compliance Search Group

    - New York City , NY

    Senior Compliance Officer A Global Advisory firm seeks a Chief Compliance Officer (CCO) ... S/he will support the Corporate CCO on compliance strategic initiatives and all compliance...

    17 hours ago from The Ladders
  • Global Chief Compliance Officer- Broker Dealer

    Michael Page International - US

    - New York City , NY

    broker dealer space. Description The Head of Compliance * Point of contact for all ... sits in the NYC office and requires a senior level of broker dealer compliance...

    30+ days ago from eFinancial Careers
  • Senior Equity Compliance Officer

    Nomura Securities International

    - New York City , NY

    Work Experience: 10 to 15 years broker-dealer experience (institutional flow) dealing with ... Experience with operational and financial compliance matters such as short interest...

    30+ days ago from OneWire
  • Compliance Officer - AML Advisory CGMI Retail Broker Dealer

    Major International Bank

    - Jersey City , NJ

    and activities in support of the Retail Broker-Dealer. Key responsibilities: Review ... client due diligence Liaise with the Retail Broker-Dealer Business, Relationship...

    17 days ago from IvyExec
  • Chief Compliance Officer

    Compliance Search Group

    - New York City , NY

    and the broker/dealer have adequate compliance coverage. Responsibilities include: ... - Ability to interface effectively with the firm’s Broker/Dealer Compliance, the firm’s bu...

    30+ days ago from The Ladders
  • Compliance Officer

    Private Wealth & Asset Management Firm

    - New York City , NY

    today’s challenging regulatory and compliance environment. The C&ORC Review team ... issues (e.g., securities laws and broker-dealer rules & regulations, prudential...

    5 days ago from IvyExec
  • Senior AML Compliance Officer

    NEW

    Michael Page International - US

    - Manhattan , NY

    and monitoring functions within the broker-dealer industry, preferably with a ... of an International Broker Dealer, is looking to recruit a Senior AML Compliance...

    3 days ago from eFinancial Careers
  • Senior AML Compliance Officer

    Financial Services

    - New York City , NY

    Ideal Candidate: Strong background in AML Compliance, surveillance and/or transaction ... of Patriot Act 3-5 years experience with broker dealer Responsibilities: Conduct...

    9 days ago from ZipRecruiter
  • Senior Compliance Officer

    Michael Page International - US

    - Manhattan , NY

    Bank. In coordination with AML Compliance Officer, maintain and update the Compliance ... registered growing Broker Dealer who are looking to recruit and Senior Compliance...

    16 days ago from eFinancial Careers
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