Compliance Officer for Electronic Broker-Dealer

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...

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...

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.

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...

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...

AJ Consultancy seeks an experienced Chief Compliance Officer to lead our compliance program and ensure adherence to regulatory requirements.Job OverviewOur company, AJ Consultancy, operates as a tech-enabled broker-dealer. We are committed to providing excellent services to our clients while maintaining high ethical standards.ResponsibilitiesEstablish and...

Job Summary: Broker-Dealer Compliance SpecialistLocation: New YorkEstimated Salary: $130,000 - $190,000 per yearDominari Securities LLC is a leading broker-dealer and wealth management firm seeking a highly skilled Compliance Specialist to join its team. The ideal candidate will possess 2-5 years of experience in broker-dealer compliance, a deep...

Job Title: Regulatory Compliance ProfessionalCompany Profile: Dominari Securities LLC is a New York-based boutique broker-dealer and wealth management firm seeking a talented Regulatory Compliance Professional to join their team. This role will involve working closely with the Chief Compliance Officer and other key departments to ensure compliance with...

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 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...

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...

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...

Job OverviewIQ-EQ is a leading provider of services to the alternative asset industry, working closely with managers across multiple capacities. As a Compliance Officer and Regulatory Affairs Expert, you will join our firm's compliance team in assessing, developing, implementing, and testing compliance programs for clients in the alternative and traditional...

About the RoleWe are seeking a highly skilled Senior Compliance Officer to join our team at IQ-EQ. This is a fantastic opportunity for a seasoned compliance professional to take on a challenging role and make a real impact in the alternative investment sector.Job SummaryThe Senior Compliance Officer will be responsible for leading engagements for the...

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...

Job DescriptionAJ Consultancy is looking for a highly skilled Regulatory Affairs Specialist to join our team. This is an excellent opportunity for an experienced Chief Compliance Officer to take on a new challenge and lead our regulatory affairs efforts.The successful candidate will have a strong background in regulatory compliance, with a minimum of 5 years...

Job OverviewIQ-EQ, a leading service provider to the alternative asset industry, is seeking an experienced Senior Compliance Officer to support its investment advisory clients.Company ProfileIQ-EQ works with managers in multiple capacities, offering services ranging from hedge fund and private equity fund launches to regulatory compliance, financial...