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...

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...

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 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...

Broker Dealer Relations CoordinatorHudson Gate Partners is seeking a highly organized and detail-oriented Broker Dealer Relations Coordinator to support our portfolio managers and oversee the tracking of all Corporate Access activities for the firm.Key Responsibilities:Provide administrative support, including calendar management, meeting coordination, and...

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,...

Job Title:Global Broker-Dealer Legal Entity Treasury SpecialistJob Summary:Citigroup Inc. is seeking a highly skilled Global Broker-Dealer Legal Entity Treasury Specialist to join our team. The successful candidate will be responsible for supporting the Global Broker-Dealer Legal Entity Treasury team in managing funding, liquidity, and capital...

Unlock Your Potential in TreasuryAre you a skilled treasury professional looking for a new challenge? Do you have a passion for financial risk management and a desire to work in a dynamic and fast-paced environment? If so, we have an exciting opportunity for you to join our team at MUFG Bank, Ltd. as a Treasury - MUFG US & Canada Broker Dealers.As a key...

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...

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,...

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...