We have other current jobs related to this field that you can find below
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NYC Broker-Dealer Equity Compliance Officer
2 months ago
New York, United States Dawn Taylor Associates Full timeOur client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office. This is a highly visible role reporting to the Chief Compliance Officer.Responsibilities:This is a hands-on role providing support to Equity Sales and Trading, Research and Investment Banking. Respond to internal compliance requests and external audits, interact...
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Broker-Dealer Compliance Pipeline
4 weeks ago
New York, United States Taylor Root Full timeTaylor Root is working with various clients in the Financial Services space who are looking for talent with substantial broker-dealer compliance experience. These roles are at various levels of seniority with a majority looking for midlevel compliance. These roles are located in the NYC area. While these roles have a hybrid component, they all require...
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Compliance Officer
4 weeks ago
New York, United States eFinancialCareers Full timeThis 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...
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Compliance Officer
2 months ago
New York, United States Anonymous Full timeLeading Broker Dealer is looking to hire a Compliance Officer in New York City.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...
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Director of Broker Dealer Compliance
3 weeks ago
New York, United States Social Capital Resources Full timeTop-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...
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Director of Broker Dealer Compliance
3 weeks ago
New York, United States Social Capital Resources Full timeTop-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...
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Broker / Dealer Compliance Officer
2 months ago
New York, United States Rockwood Search Full timeUS 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 relationships with front office personnel...
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Broker / Dealer Compliance Officer
2 months ago
New York, United States Rockwood Search Full timeUS 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 relationships with front office personnel...
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Broker / Dealer Compliance Officer
1 month ago
New York, United States Rockwood Search Associates Full timeJob 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...
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KYC Client Lifecycle
1 month ago
New York, United States Phaxis Full timeWe are currently collaborating with a prominent financial services firm that is expanding its front office teams. We are seeking an ideal candidate with a solid KYC background with Broker Dealer experience working in front office roles.This is a full-time position with a hybrid schedule based in NYC.Responsibilities:Work closely with the sales department to...
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New York, United States AJ Consultancy Full timeJob DescriptionJob DescriptionOur Broker Dealer Client located in Jersey City, NJ and Dallas/Fort Woth is looking for a self-motivated energetic individual to join their accounting team in either New Jersey or Dallas if you are unwilling to work onsite in either Dallas or New Jersey please do not apply. AJ Consultancy, Inc is recruiting for a Senior...
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Audit Senior Associate | Broker Dealer
4 days ago
New York, United States Forvis Mazars, LLP Full timeGeneral informationNameAudit - Senior Associate - Broker DealerPosting TitleAudit Senior Associate | Broker DealerRef #2233096Date PublishedMonday, July 22, 2024CityNew YorkStateNew YorkCountryUnited StatesJob CategoryAudit/AssuranceOfficeNew York NY (MUSA)Advertised LocationUS-NJ-Iselin, US-NY-Long Island, US-NY-New YorkWorking timeFull TimeDescription &...
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Senior Accountant
4 weeks ago
New York, United States Robert Half - US Full timeResponsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...
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Senior Accountant
3 months ago
New York City, United States Robert Half - US Full timeResponsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...
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Risk Compliance Officer
1 month ago
New York, United States Mission Staffing Full timeOur client, a well-known Broker Dealer in Midtown, NY, is looking to add a Compliance Testing Analyst to their team. Requirements of this position include running regulatory framework testing for FINRA 3120 compliance, documenting the results of various risk assessments, and conducting supervisory procedural testing. The ideal candidate will come with at...
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Compliance Officer
5 days ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeAbout Sumitomo Mitsui Banking Corporation (SMBC)SMBC Group is a premier global financial institution with a rich history spanning over 400 years. With its headquarters in Tokyo, SMBC Group provides a comprehensive suite of financial services, including banking, leasing, securities, credit cards, and consumer finance.With a presence in nearly 40 countries and...
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New York, New York, United States Taylor Root Full timeCompany Overview: Taylor Root is collaborating with multiple clients in the Financial Services sector seeking professionals with extensive broker-dealer compliance expertise. Position Overview: These opportunities span various levels of seniority, with a primary focus on mid-level compliance roles. The positions are primarily based in the NYC area and...
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Chief Compliance Officer
1 month ago
New York, United States TZ CLEARING Company Full timeTradeZero, 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...
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Chief Compliance Officer
1 month ago
New York, United States TZ CLEARING Company Full timeTradeZero, 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...
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Senior Compliance Officer
3 weeks ago
New York, United States Mission Staffing Full timeOur client, a well-known Financial Services firm, is looking to add a Senior Compliance Manager to their team! Responsibilities of this position include maintaining firm-wide compliance with new and established policies and procedures, engaging with external regulators (including FINRA and the SEC) during regulatory examinations, and overseeing the...
NYC Broker-Dealer Compliance Officer
2 months ago
Our client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office. This is a highly visible role reporting to the Chief Compliance Officer.
Responsibilities:
This is a hands-on role providing support to Equity Sales and Trading, Research and Investment Banking. Respond to internal compliance requests and external audits, interact with sales, traders, bankers, research and regulatory authorities. Liaise with international compliance teams.
Qualifications:
- Bachelor’s Degree, MBA or JD preferred
- 5-7+ years of U.S. broker-dealer compliance expertise monitoring equity sales, trading, research and investment banking
- Series 7, 14 and 63 required
- Knowledge of SRO and SEC regulations
- Proven ability to deal with audits and regulatory examinations
- Experience working in a fast-paced environment with ability to multi-task and work independently
