Director of Broker Dealer Compliance

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...

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...

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 DescriptionYou will have strong analytical, process management and communication skills with a proven ability to work with cross-functional teams.As the Chief Compliance Officer, you will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations.You will be responsible for preparing...

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. The ideal candidate will have: 3-10 years Broker Dealer and Advisory compliance experience. Strong knowledge of SEC, FINRA, and other regulations. SEC Investment Advisors Act of 1940 experience Develop and maintain...

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. The ideal candidate will have: 3-10 years Broker Dealer and Advisory compliance experience. Strong knowledge of SEC, FINRA, and other regulations. SEC Investment Advisors Act of 1940 experience Develop and maintain...

Help establish best in class risk and controls by testing and monitoring the broker dealer program of one of the largest financial services companies in NA.Client DetailsOne of the top 10 largest financial services firms in the world. DescriptionThe Monitoring and Testing Team sits in Core Compliance and covers the the firm's and certain global businesses,...

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...

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...

Our client a multi-strategy fund is seeking a Broker Dealer Relations Coordinator to join their team. Position Overview:We are seeking a highly organized and detail-oriented Broker Relations Coordinator to support our portfolio managers and oversee the tracking of all Corporate Access activities for the firm. The ideal candidate will have 2-3 years of...

Institutional Broker-Dealer Associate General Counsel DLR Associates Recruiting seeks an experienced Associate General Counsel to advise and support sales and trading teams for Fixed Income and Equities. Key responsibilities include leading trading documentation and agreement negotiations, as well as advising on international and domestic laws/regs (SEC,...

Our client a multi-strategy fund is seeking a Broker Dealer Relations Coordinator to join their team. Position Overview:We are seeking a highly organized and detail-oriented Broker Relations Coordinator to support our portfolio managers and oversee the tracking of all Corporate Access activities for the firm. The ideal candidate will have 2-3 years of...

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...

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...

Client looking to move quicklyHigh growth opportunity About Our Client One of the top 10 largest financial services firms in the world. Job Description The Monitoring and Testing Team sits in Core Compliance and covers the the firm's and certain global businesses, working with regional testing teams across the globeThis Compliance Officer will also support...

The Senior Compliance Consultant role involves ensuring compliance with FINRA, SEC, and broker-dealer regulations by developing and implementing compliance policies, conducting audits, and overseeing risk assessments. Additionally, the position serves as a liaison with regulatory bodies and manages anti-money laundering (AML) and Know Your Customer (KYC)...

Senior Compliance Consultant RoleThe Senior Compliance Consultant will be responsible for ensuring regulatory compliance with FINRA, SEC, and broker-dealer regulations. This includes monitoring and implementing new regulatory developments, serving as the primary contact for regulatory inquiries and audits, and developing and updating compliance policies and...

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...

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.