Director of Broker Dealer Compliance

DriveWealth Seeks Experienced LeaderWe are seeking an experienced Broker-Dealer Compliance Director to join our team at DriveWealth, a global financial technology organization dedicated to democratizing access to financial independence. As Compliance Director, you will be responsible for ensuring compliance with FINRA and SEC rules along with all applicable...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

**Job Summary:**Compliance Director for Self-Clearing Broker-Dealer Specializing in Equity Trading Supervision LocationAJ Consultancy is seeking an experienced Compliance Director to join our team as a Compliance Director for a Self-Clearing Broker-Dealer. The ideal candidate will have a strong background in equity trading compliance and a minimum of 5 years...

Job Title: Compliance Officer for Electronic Broker-DealerSalary: $150,000 - $200,000 per yearJob DescriptionWe are seeking an experienced Chief Compliance Officer to lead our regulatory affairs team at AJ Consultancy. The successful candidate will have a strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically...

**About the Role:**Senior Compliance Officer for Equities and Broker-Dealer OperationsAJ Consultancy is seeking an experienced Senior Compliance Officer to join our team as a Compliance Director for a Self-Clearing Broker-Dealer. The ideal candidate will have a strong background in equity trading compliance and a minimum of 5 years of experience working in a...

AJ Consultancy is seeking a highly experienced Chief Compliance Officer to join our team.Job DescriptionAs a key member of the management team, the successful candidate will be responsible for leading our compliance program, ensuring adherence to regulatory requirements and best practices in compliance management. This includes establishing and maintaining...

Job Title: Chief Compliance OfficerCompany Overview: AJ Consultancy is a leading provider of regulatory compliance solutions.Salary: Estimated annual salary range: $120,000 - $180,000 based on industry standards and location.Job Description:Key Responsibilities:Establish and maintain effective compliance procedures to identify, prevent, detect, and remediate...

Saxon GlobalEstimated Salary: $120,000 - $180,000 per year.About UsWe are a leading financial services firm dedicated to providing innovative solutions to our clients in the broker dealer industry. Our team is passionate about driving the success of our clients and delivering exceptional results.Job DescriptionWe are seeking a talented and motivated Business...

About the RoleWe are seeking a highly skilled Tax & IRA Specialist to join our team at AJ Consultancy, a leading NYC based Broker-Dealer.The estimated salary for this position is around $85,000 - $110,000 per year, depending on experience and qualifications.

Job DescriptionThis role will focus on expanding iCapital's enterprise presence in the U.S. wealth channel, particularly within the Independent Broker Dealer segment.The ideal candidate will be responsible for managing and growing relationships with iCapital's largest clients and prospects in the Broker Dealer channel while driving new business initiatives...

About the OpportunityiCapital is looking for a seasoned Business Development professional to join the Relationship Management team, focusing on expanding the company's presence in the U.S. wealth channel, specifically within the Independent Broker Dealer segment.This role will play a pivotal part in managing and growing relationships with iCapital's largest...

About the RoleWe are recruiting for a Senior Tax Associate who will be responsible for managing tax operations, ensuring accurate and timely tax compliance. The successful candidate will have a deep understanding of tax withholding regulations, specifically related to broker dealer trading and asset services event processing.The role requires expertise in...

Location: You must reside in either the NYC (Five Boroughs) or NJ area; however, this is a fully REMOTE role. HQ is in Pasadena, CA. Regional Director, Sales & Dealer Development We are currently seeking a Regional Director to direct the development of Fox Dealer Interactive strategies and product/service offerings within a regional geography. This position...

Company Overview: Inficare Technologies is a pioneering force in the financial services industry. We are committed to delivering cutting-edge solutions that meet the evolving needs of our clients. As a Broker Dealer Technology Integration Expert, you will play a vital role in shaping the future of our financial services.We are seeking a highly skilled...

About the Role As an Associate Director of Compliance at IQ-EQ, you will play a critical role in supporting our investment adviser clients by providing regulatory compliance services. You will work closely with our experienced team of industry veterans to ensure that client compliance programs are up-to-date and meet the requirements of SEC Rules 206(4)-7...

Position Title: Business Analyst (Wealth Management)Location: Midtown/Manhattan, NY (Hybrid)Duration: 6 Months contract to hireJob Description:Individuals must have Minimum of 5 years’ experience at a US Broker Dealer as a business analyst. Working in Equities, ETO’s, Mutual Funds and Fixed Income Markets. Some experience in Margin Lending and Security...

Job DescriptionThe Tandym Group is looking for an accomplished Controller to lead their accounting team. As a key member of the management team, you will oversee the day-to-day accounting functions and play a vital role in ensuring the accuracy and timeliness of all accounting reports and financials. Your primary responsibilities will include:Overseeing...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. This role is currently in a hybrid schedule (2 days in office).Responsibilities:• Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. This role is currently in a hybrid schedule (2 days in office).Responsibilities:• Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of...

Job OverviewAJ Consultancy is seeking an experienced Chief Compliance Executive to lead our regulatory affairs efforts. The successful candidate will have a strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management.The ideal candidate will have a minimum of...