Compliance Manager for Electronic Broker-Dealer

Job Title: Compliance Officer for Electronic Broker-DealerSalary: $150,000 - $200,000 per yearJob DescriptionWe are seeking an experienced Chief Compliance Officer to lead our regulatory affairs team at AJ Consultancy. The successful candidate will have a strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically...

Job Title: Chief Compliance OfficerCompany Overview: AJ Consultancy is a leading provider of regulatory compliance solutions.Salary: Estimated annual salary range: $120,000 - $180,000 based on industry standards and location.Job Description:Key Responsibilities:Establish and maintain effective compliance procedures to identify, prevent, detect, and remediate...

DriveWealth Seeks Experienced LeaderWe are seeking an experienced Broker-Dealer Compliance Director to join our team at DriveWealth, a global financial technology organization dedicated to democratizing access to financial independence. As Compliance Director, you will be responsible for ensuring compliance with FINRA and SEC rules along with all applicable...

**Job Summary:**Compliance Director for Self-Clearing Broker-Dealer Specializing in Equity Trading Supervision LocationAJ Consultancy is seeking an experienced Compliance Director to join our team as a Compliance Director for a Self-Clearing Broker-Dealer. The ideal candidate will have a strong background in equity trading compliance and a minimum of 5 years...

**About the Role:**Senior Compliance Officer for Equities and Broker-Dealer OperationsAJ Consultancy is seeking an experienced Senior Compliance Officer to join our team as a Compliance Director for a Self-Clearing Broker-Dealer. The ideal candidate will have a strong background in equity trading compliance and a minimum of 5 years of experience working in a...

Saxon GlobalEstimated Salary: $120,000 - $180,000 per year.About UsWe are a leading financial services firm dedicated to providing innovative solutions to our clients in the broker dealer industry. Our team is passionate about driving the success of our clients and delivering exceptional results.Job DescriptionWe are seeking a talented and motivated Business...

About SMBCSMBC Group is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, Japan, the group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a presence in nearly 40 countries and over 80,000 employees worldwide, SMBC Group is...

Job DescriptionThis role will focus on expanding iCapital's enterprise presence in the U.S. wealth channel, particularly within the Independent Broker Dealer segment.The ideal candidate will be responsible for managing and growing relationships with iCapital's largest clients and prospects in the Broker Dealer channel while driving new business initiatives...

About the OpportunityiCapital is looking for a seasoned Business Development professional to join the Relationship Management team, focusing on expanding the company's presence in the U.S. wealth channel, specifically within the Independent Broker Dealer segment.This role will play a pivotal part in managing and growing relationships with iCapital's largest...

About the RoleThis is an exciting opportunity for an experienced compliance professional to join our team as a Chief Compliance Officer. You will be responsible for ensuring compliance with FINRA and SEC rules, monitoring regulatory changes, and providing guidance to cross-functional teams.ResponsibilitiesThe successful candidate will:Lead and manage the...

About the RoleWe are recruiting for a Senior Tax Associate who will be responsible for managing tax operations, ensuring accurate and timely tax compliance. The successful candidate will have a deep understanding of tax withholding regulations, specifically related to broker dealer trading and asset services event processing.The role requires expertise in...

About the RoleWe are seeking a highly skilled Tax & IRA Specialist to join our team at AJ Consultancy, a leading NYC based Broker-Dealer.The estimated salary for this position is around $85,000 - $110,000 per year, depending on experience and qualifications.

Job Title: Compliance ManagerCompany Overview: AJ Consultancy offers expert regulatory compliance solutions tailored to the needs of electronic broker-dealers.Salary: The estimated annual salary range is $160,000 - $240,000 based on industry standards and location.Job Description:Key Responsibilities:Design and implement comprehensive compliance programs to...

Job OverviewAJ Consultancy is seeking an experienced Chief Compliance Executive to lead our regulatory affairs efforts. The successful candidate will have a strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management.The ideal candidate will have a minimum of...

DriveWealth - A Global Financial Technology OrganizationWe are seeking an experienced Chief Compliance Officer to join our team at DriveWealth, a global financial technology organization dedicated to democratizing access to financial independence. Our mission is to empower partners to offer seamless investing and trading experiences to clients worldwide...

Job DescriptionThe Tandym Group is looking for an accomplished Controller to lead their accounting team. As a key member of the management team, you will oversee the day-to-day accounting functions and play a vital role in ensuring the accuracy and timeliness of all accounting reports and financials. Your primary responsibilities will include:Overseeing...

About the Role As an Associate Director of Compliance at IQ-EQ, you will play a critical role in supporting our investment adviser clients by providing regulatory compliance services. You will work closely with our experienced team of industry veterans to ensure that client compliance programs are up-to-date and meet the requirements of SEC Rules 206(4)-7...

We are seeking a Senior Compliance Professional to join our team at AJ Consultancy.Job ResponsibilitiesAs a key member of our compliance team, the successful candidate will be responsible for leading our compliance program, ensuring adherence to regulatory requirements and best practices in compliance management.Key responsibilities include establishing and...

As a Chief Compliance Officer at DriveWealth, you'll play a crucial role in ensuring the company's regulatory compliance. With a strong background in regulatory and self-regulatory agencies' rules and regulations, you'll lead and manage the broker-dealer compliance team, develop and implement compliance programs, and monitor regulatory changes.You'll be...

Job OverviewOppenheimer & Co. Inc. is a leading middle-market investment bank and full-service broker-dealer, engaged in various activities in the financial services industry.We are seeking a Surveillance Analyst to support the daily functions of our Compliance department, based in New York.ResponsibilitiesAnalyze business processes and systems, defining...