Current jobs related to Chief Compliance Officer, Broker-Dealer - New York - Simmons & Hanbury

  • Chief Compliance Officer

    1 week ago

    New York, New York, United States Tradeweb Full time

    Job SummaryWe are seeking a highly experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting, and remediating regulatory issues.Key ResponsibilitiesDevelop and...

  • Director of Broker Dealer Compliance

    1 month ago

    New York, United States Social Capital Resources Full time

    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...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Tradeweb Markets Full time

    Job DescriptionWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb Markets. As a key member of our organization, you will play a critical role in ensuring that our company remains compliant with all relevant laws and regulations.Key ResponsibilitiesCompliance Program Management: Develop and implement...

  • Head of Trading Compliance

    2 days ago

    New York, United States Larson Maddox Full time

    A broker-dealer and investment bank is seeking a Head of Trading Compliance to run the day-to-day execution of the compliance program covering the trading desk, focused on equities and fixed income. The role reports directly to the Chief Compliance Officer with at least one direct report assisting with the daily execution of the program. An ideal background...

  • Head of AML – Broker Dealer

    6 days ago

    New York, United States Jobs via eFinancialCareers Full time

    A broker dealer and investment bank is seeking a Head of AML to run the day-to-day execution of the financial crimes program covering the operations of the broker dealer, research, M&A, and investment banking. The role reports directly to the Chief Compliance Officer with at least one direct report assisting with the daily execution of the program. An ideal...

  • Broker Dealer Compliance Associate Director

    3 hours ago

    New York, United States Tandym Group Full time

    A financial services firm is seeking an experienced professional to join their growing team as a Compliance Associate Director. Responsibilities:Work closely on compliance matters with client personnelAssist broker-dealer clients through regulatory examinations and respond to regulatory inquiriesAdvise clients regarding compliant business practices Write,...

  • Head of AML

    6 days ago

    New York, United States Larson Maddox Full time

    A broker dealer and investment bank is seeking a Head of AML to run the day-to-day execution of the financial crimes program covering the operations of the broker dealer, research, M&A, and invesment banking. The role reports directly to the Chief Compliance Officer with at least one direct report assisting with the daily execution of the program. An ideal...

  • Head of AML

    2 weeks ago

    New York, United States Larson Maddox Full time

    A broker dealer and investment bank is seeking a Head of AML to run the day-to-day execution of the financial crimes program covering the operations of the broker dealer, research, M&A, and invesment banking. The role reports directly to the Chief Compliance Officer with at least one direct report assisting with the daily execution of the program. An ideal...

  • Head of AML

    2 weeks ago

    New York, United States Larson Maddox Full time

    A broker dealer and investment bank is seeking a Head of AML to run the day-to-day execution of the financial crimes program covering the operations of the broker dealer, research, M&A, and invesment banking. The role reports directly to the Chief Compliance Officer with at least one direct report assisting with the daily execution of the program. An ideal...

  • Compliance Director

    2 weeks ago

    New York, New York, United States Tradeweb Markets Full time

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

  • Chief Compliance Officer

    2 months ago

    New York, United States TZ CLEARING Company Full time

    TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

  • Chief Compliance Officer

    2 months ago

    New York, United States TZ CLEARING Company Full time

    TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

  • Broker / Dealer Compliance Officer

    2 months ago

    New York, United States Rockwood Search Associates Full time

    Job DescriptionJob DescriptionUS Capital Markets division of a European based banks seeks a Senior Compliance Officer providing advisory and monitoring activities in support of Investment Banking, Equity Sales and Trading, 15a-6 Research distribution, and Equity Research coverage/production. Responsibilities include:Building and maintaining strong...

  • Chief Compliance Officer

    3 weeks ago

    new york city (brooklyn), United States TZ CLEARING Company Full time

    TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

  • Senior Compliance Manger

    2 weeks ago

    New York, United States Larson Maddox Full time

    Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / Senior Vice President level to lead specialist Compliance Testing programs across the firms Broker Dealer business with an initial focus on Volcker Testing. The firm are one of the world's largest banking groups whose global...

  • Chief Compliance Officer

    2 days ago

    New York, New York, United States Tradeweb Full time

    Job Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement...

  • Compliance Officer

    1 month ago

    New York, United States eFinancialCareers Full time

    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...

  • Chief Compliance Officer, Swaps Dealer

    2 days ago

    New York, New York, United States FalconX Full time

    About FalconXFalconX is a leading digital asset platform for institutions, providing trade execution, credit & treasury management, prime offering, and market making services. With global operations, industry-leading technology, and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products and services are regulated,...

  • Chief Compliance Officer

    2 days ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Job Summary:The Chief Compliance Officer will serve as the leader in all aspects of...

  • Chief Compliance Officer

    2 days ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance program, ensuring...

Chief Compliance Officer, Broker-Dealer

4 months ago

New York, United States Simmons & Hanbury Full time

Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements.


Primary Accountabilities / Responsibilities

  • Designing and implementing a comprehensive broker-dealer compliance program, protecting the firm from regulatory risk.
  • Managing firm’s relationships with the SEC and FINRA.
  • Ensuring compliance controls and governance frameworks for the firm’s clearing business and for new business authorizations.
  • Identifying potential areas of compliance vulnerability and risk, escalating appropriately, and assisting with developing and/or implementing corrective action.
  • Monitor, analyze and assess the impact of new rules and regulations on the firm’s policies and procedures and working with stakeholders across the firm to implement regulatory change.


Knowledge, Skills & Abilities

  • Thorough understanding of FICC, OCC, MBSCC, SEC, FINRA.
  • U.S. broker-dealer control requirements.
  • Experience in working within a firm that provides clearing is highly desirable.




Due to the high volume of applications, if you haven’t heard back from the team on this role, unfortunately your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.



About Simmons & Hanbury



Simmons & Hanbury is a specialist executive search firm that sources and secures the best human capital and future leaders for our clients. We provide an integrated international service to support our clients across the globe, from our group headquarters based in the heart of the City of London. We support some of the most prestigious organisation's in the world, across financial services, commerce & industry, and professional services.