Top 7 Senior compliance manager Jobs in Pittsburgh Pa

Senior Risk Manager / Compliance Supervisor ? Broker Dealer Trading Department
NewEdge Capital Group LLC —Pittsburgh, PA
- Full-time
- 5 years
- Office
- Finance
Quick Apply
Senior Vice President, SOX Control & Compliance Manager
The Bank of New York Mellon Corporation —Pittsburgh, PA
- Full-time
- CPA
- Office
- Finance
Senior Compliance & Control Manager _ Pipeline
The Bank of New York Mellon Corporation —Pittsburgh, PA
- Full-time
- Office
- Bachelor's degree
- Continuous improvement
Senior Vice President, OPS Control Manager
The Bank of New York Mellon Corporation —Pittsburgh, PA
- Full-time
- Office
- Bachelor's degree
- Recruiting
Sr Manager, InfoSec Governance Risk and Compliance (GRC)
Ivalua —Pittsburgh, PA
- $112,000 - $208,000 a year
- Call employer
- Hybrid work
- HIPAA
- Office
- 3 years
- Health insurance
- Dental insurance
Quick Apply
Sr. Manager, Indirect Tax - Global Trade
Deloitte —Pittsburgh, PA
- $163,425 - $333,875 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Microsoft Access
- CPA
Sr. Manager, SAP Tax Technology - Global Trade
Deloitte —Pittsburgh, PA
- $163,425 - $333,875 a year
- Full-time
- Hybrid work
- Microsoft Access
- CPA
- Up to 50% travel

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Healthcare Compliance Auditor, Senior I
UPMC —Pittsburgh, PA
Relevant professional license is required (RN/LPN or equivalent). Bachelor's degree or equivalent clinical certification and Three (3) years of progressive…
$32.85 - $56.83 an hour
Senior Director, Global Compliance Operations & Investigations Lead
Zoll Medical Corporation —Pittsburgh, PA
Ensure effective triage, risk assessment, and escalation protocols for all incoming matters. This leader is accountable for the end-to-end management of the…
$220,000 - $290,000 a year

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Senior Manager, Corporate Compliance
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Senior Manager, Compliance
ATS Automation Tooling Systems Inc. —Lewis Center, OH
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senior compliance manager jobs near pittsburgh pa

Senior Risk Manager / Compliance Supervisor ? Broker Dealer Trading Department

NewEdge Capital Group LLC
Pittsburgh, PA

Quick Apply

Job Details

Full-time

Qualifications

Investment firm experience
Securities & Exchange Commission
Series 7
Securities law compliance support experience
Series 24
Securities law
FINRA License
Experience at securities companies
Series 63
Cross-functional communication
Financial markets knowledge

Full Job Description

Role Overview:

We are seeking an experienced and detail-oriented Compliance Supervisor to oversee risk management and compliance activities with our Broker-Dealer Trading Department. This role ensures adherence to regulatory requirements, internal policies, and industry best practices. The successful candidate will play a key role in monitoring trading activity, regulatory reporting obligations, and supporting the firm’s risk management framework.

Location: The ideal candidate will be located in Pittsburgh, PA and able to report to our office there. However, remote candidates are encouraged to apply.

Key Responsibilities:

Supervise day-to-day compliance oversight of equity, fixed income & options trading activities, including corporate bonds, municipal bonds, government securities and structured products.
Monitor trade activity for adherence to applicable regulations (e.g., SEC, FINRA and MSRB), internal policies, market conduct standards and trade reporting requirements.
Provide real-time support to traders and sales personnel on regulatory and policy-related inquiries.
Conduct trade surveillance reviews and escalate any potentially suspicious or non-compliant activity.
Collaborate with the surveillance, legal, risk and operations teams to ensure a coordinated compliance approach.
Assist with regulatory exams, audits, and internal investigations related to equity & fixed income trading.
Interpret new regulatory developments and assess their impact on the trading desk and associated compliance processes.
Support the development, maintenance, and delivery of trading compliance training programs.
Document and maintain compliance policies and procedures relevant to the equity & fixed income business.

Required Skills/Abilities:

Deep understanding of fixed income products, market structure, and applicable U.S. securities laws and regulations.
In depth knowledge of fixed income trade reporting for municipal and corporate bonds.
Familiarity with CAT, RTRS Municipal Trade reporting portal and the FINRA TRAQs corporate bond trade reporting portal.
Prior supervisory or team leadership experience preferred.
Strong analytical, investigative, problem-solving skills.
Excellent communication and interpersonal skills, with the ability to work collaboratively across departments.

Education and Experience:

Bachelor’s degree in Finance, Business or a related field preferred or an equivalent combination of education and work.
5+ years of relevant compliance experience in a broker-dealer or investment firm, with strong focus on fixed income trading.
Experience with trade surveillance tools (e.g. BondWave, Bloomberg or similar systems).
Familiarity with SEC Rule 15c2-11, MSRB rules, TRACE reporting, and Regulation Best Interest (Reg BI).
Proficiency in Excel and data analysis tools is a plus.
Required FINRA Licenses: FINRA Series 4, 7, 24, 53 and 63

Quick Apply

Refine Your Search

senior compliance manager jobs in pittsburgh pa

Senior Risk Manager / Compliance Supervisor ? Broker Dealer Trading Department

Senior Vice President, SOX Control & Compliance Manager

Senior Compliance & Control Manager _ Pipeline

Senior Vice President, OPS Control Manager

Sr Manager, InfoSec Governance Risk and Compliance (GRC)

Sr. Manager, Indirect Tax - Global Trade

Sr. Manager, SAP Tax Technology - Global Trade

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