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...

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,...

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,...

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,...

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...

Job Title: Associate Director, Broker DealerApollo Global Management, Inc. is seeking an experienced Associate Director to join our Broker Dealer team. As a key member of our team, you will be responsible for supporting daily P&L and regulatory net capital calculations related to secondary trading activities.Key Responsibilities:Review front-end system...

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...

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 (CCO) of Broker-Dealer at GCM Grosvenor New York, New York, United States SUMMARYThe Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers compliance program. As the broker-dealer CCO, the successful candidate will maintain and establish...

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...

**Chief Compliance Officer (CCO) of Broker-Dealer** at GCM Grosvenor New York, New York, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers compliance program. As the broker-dealer CCO, the successful candidate will maintain and...

**Chief Compliance Officer (CCO) of Broker-Dealer** at GCM Grosvenor New York, New York, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers compliance program. As the broker-dealer CCO, the successful candidate will maintain and...

Job DescriptionYou will have strong analytical, process management and communication skills with a proven ability to work with cross-functional teams.Key Responsibilities:Manage interactions with regulatory agencies to ensure compliance with applicable laws and regulations.Prepare regulatory submissions and coordinate responses to inquiries from regulatory...

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...

Compliance Director Opportunity at Social Capital ResourcesAbout the Role:We are seeking a seasoned Compliance Director to join our team at Social Capital Resources, a top-tier investment management company in Midtown, Manhattan. As a key member of our compliance team, you will be responsible for developing, maintaining, and implementing a comprehensive...

Compliance Director Opportunity at Social Capital ResourcesAbout the Role:We are seeking a seasoned Compliance Director to join our team at Social Capital Resources, a top-tier investment management company in Midtown, Manhattan. As a key member of our compliance team, you will be responsible for developing, maintaining, and implementing a comprehensive...

Job Title: Global Broker-Dealer Treasury SpecialistCiti's Global Broker-Dealer Treasury team is seeking a highly qualified professional to support Broker-Dealer funding, capital, and liquidity management and oversight requirements within the Treasury organization.Job Summary:The Global Broker-Dealer Treasury team reports to the Global Broker-Dealer and...

Job Title: Technical Business Analyst/Broker DealerSaxon Global is seeking a highly skilled Technical Business Analyst/Broker Dealer to join our team. As a key member of our financial services team, you will play a critical role in driving the success of initiatives focused on improving processes, systems, and workflows within our broker dealer business...

Job Title: Global Broker-Dealer Treasury SpecialistCiti's Global Broker-Dealer Legal Entity Treasury team is seeking a highly qualified professional to support Broker-Dealer funding, capital, and liquidity management and oversight requirements within the Treasury organization.Key Responsibilities:Contribute to analytics and reporting of Broker-Dealer...