Chief Compliance Officer 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...

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...

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...

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...

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 is seeking a highly experienced Chief Regulatory Affairs Officer to lead our compliance efforts in a rapidly changing regulatory environment. As a key member of our team, you will be responsible for overseeing the implementation of effective compliance standards, managing regulatory interactions, and ensuring that our electronic broker-dealer...

**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...

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...

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 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 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...

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...

Company OverviewWe are a global leader in risk, strategy, and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer, and Oliver Wyman.Job SummaryWe seek a talented individual to join our Legal and Compliance team as Chief Counsel and Chief Compliance Officer. This hybrid role requires working at least three days a...

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...

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 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...

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 OverviewOscar Health is seeking a seasoned professional to lead our compliance efforts as Chief Compliance Officer. This role is responsible for designing and implementing a compliance program that focuses on governance, ethics, and HIPAA.The successful candidate will lead all compliance efforts for Oscar's licensed entities delivering Qualified Health...

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...