Senior Compliance Officer for Equities and Broker-Dealer Operations

**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...

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...

AJ Consultancy is seeking a highly experienced Chief Compliance Officer to join our team.Job DescriptionAs a key member of the management team, the successful candidate will be responsible for leading our compliance program, ensuring adherence to regulatory requirements and best practices in compliance management. This includes establishing and maintaining...

Role Overview:Social Capital Resources is seeking an experienced compliance professional to fill the role of Director of Broker Dealer Compliance. This position plays a critical role in ensuring that our organization remains compliant with all relevant regulatory requirements.As Director of Broker Dealer Compliance, you will be responsible for developing,...

As a Business Analyst at New Millennium Consulting, you will have the opportunity to work on exciting projects in the Post Trade IT team. Your primary focus will be on managing a project aimed at implementing a new equity back-office system for US Broker Dealers.The ideal candidate will have great knowledge of US Broker dealer Equities back office –...

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...

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 the RoleAJ Consultancy is seeking an experienced Chief Compliance Officer to join our team. As a key member of our regulatory affairs department, you will be responsible for ensuring compliance with relevant laws and regulations, maintaining effective risk management systems, and overseeing our AML compliance program.Main Responsibilities:Develop and...

Job Requirements:To be successful in this role, you should possess excellent analytical and problem-solving skills, with the ability to communicate complex ideas effectively to both technical and non-technical stakeholders. You should also have a solid understanding of broker dealer business processes, regulations, and industry trends.Responsibilities:Gather...

Job Title: Equity Back Office Operations ExpertWe are seeking an experienced Equity Back Office Operations Expert to join our client's Post Trade IT team. This role requires expertise in US Broker-Dealer Equity back office operations, with a strong understanding of settlement, accounting, corporate actions, and regulatory reporting within a Broker-Dealer...

Company OverviewThe TP ICAP Group is a world-leading provider of market infrastructure, offering clients access to global financial and commodities markets. Our purpose is to improve price discovery, liquidity, and data distribution through responsible and innovative solutions.We connect clients to superior liquidity and data solutions through our people and...

Job Title: Senior Equity Solutions SpecialistWe are seeking a highly skilled Senior Equity Solutions Specialist to join our client's Post Trade IT team. This role requires expertise in US Broker-Dealer Equity back office operations, with a strong understanding of settlement, accounting, corporate actions, and regulatory reporting within a Broker-Dealer...

Job DescriptionAJ Consultancy seeks a seasoned Chief Compliance Officer with at least 5 years of experience working for a Self-Clearing Broker Dealer. The ideal candidate will have significant experience in the supervision of Equities Trading, knowledge of relevant regulations as they apply to order routing, execution services, and electronic reporting, and...

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...

We are seeking a Senior Equity Solutions Analyst with expertise in US Broker-Dealer back office operations to join our client's Post Trade IT team.About Our ClientA corporate and investment bank, offering a wide range of financial services including financing, advisory, capital markets, and risk management solutions to institutional clients globally.Job...

Regulatory Compliance Officer Job SummaryWe are seeking a highly skilled Equities Regulatory Compliance Officer to join our team in New York. As a key member of our Americas Compliance team, you will be responsible for providing regulatory/compliance advice and support to our equity and equity derivatives trading and operational functions.This role is ideal...

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...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets.Job SummaryWe are seeking a Senior Compliance Officer to join our global compliance team within the Legal and Compliance Department, focusing on the U.Registered Funds 38a-1 compliance program.Main Responsibilities:Implement and adapt the compliance program...

Job DescriptionWe are seeking a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for asset managers, hedge funds, private equity, real-estate clients, banks, and broker-dealers.Lead or support an entire sales cycle; pitches, proposals, follow-ons, and general contract...