Director of Broker Dealer Compliance

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,...

Job DescriptionJob DescriptionSelf-Clearing Broker Dealer seeks experienced Senior Compliance Individual with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer who has worked at a Self-Clearing Broker Dealer within the last 5 years as who has significant experience in the supervision of Equities Trading "All Other Please DO NOT...

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...

Role: Technical Business Analyst/Broker Dealer Location: Midtown, NYC Three Times A Week Duration: 1+ years Contract Interview Required: Video Candidate Visa's Accepted: No Opt. Managers Notes This is really a Technical BA with Broker Dealer experience. They must come from: ICAP GFI/Cantor Fidelity Charles Schwab Or similar. Not just Capital markets...

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 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...

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...

Position Title: Business AnalystLocation: Midtown/Manhattan, NY (Hybrid)Duration: 6 Months contract to hireBA resources specializing in one of the following domains of Broker-Dealer operations.Clearance and SettlementRetirementsTax Account Onboarding and MaintenanceMarginExperience & SkillsIndividuals must haveIn-depth knowledge and experience inUS...

Position Title: Business AnalystLocation: Midtown/Manhattan, NY (Hybrid)Duration: 6 Months contract to hireBA resources specializing in one of the following domains of Broker-Dealer operations.Clearance and SettlementRetirementsTax Account Onboarding and MaintenanceMarginExperience & SkillsIndividuals must haveIn-depth knowledge and experience inUS...

Job DescriptionWe are looking for a highly skilled Compliance Director to join our team in New York. Your primary responsibility will be to oversee the implementation of written supervisory procedures, transaction monitoring, AML compliance, training, and annual testing. You will also manage regulatory interactions, prepare submissions, and coordinate...

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 –...

Job DescriptionJob DescriptionBroker Dealer Compliance Officer OpportunityNew York-based boutique broker-dealer and wealth management firm looking for a compliance professional to assist the Chief Compliance Officer with the day-to-day compliance duties of the firm. What we are looking for:2-5 years of broker-dealer compliance experienceEquity capital...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. This role is currently in a hybrid schedule (2 days in office).Responsibilities:• Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of...

About the Role:We are seeking a highly skilled compliance professional to join our team as Director of Broker Dealer Compliance. As a key member of our organization, you will be responsible for ensuring that our compliance program meets the highest standards of regulatory compliance.Your primary objective will be to develop, implement, and maintain a...

MarketAxess is a leading financial market platform that empowers digital transformation, fostering transparency, efficiency, and competition in the industry. As we continue to expand globally, we seek an experienced Assistant Chief Compliance Officer to join our regulatory compliance team.This key position will report directly to the firm's Chief Compliance...

We are seeking a talented individual to join our Legal and Compliance team at Marsh McLennan. This role can be based in NY, Boston, or Chicago. This is a hybrid role that requires working at least three days a week in the office. The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management,...

A prominent firm in the investment banking and capital markets sector is looking for a Compliance Associate to join the team. This position will perform monitoring and testing responsibilities across the firm, gaining exposure to a variety of business lines. As part of this critical function, you will:Devise, implement, execute monitoring/ testing...

A prominent firm in the investment banking and capital markets sector is looking for a Compliance Associate to join the team. This position will perform monitoring and testing responsibilities across the firm, gaining exposure to a variety of business lines. As part of this critical function, you will:Devise, implement, execute monitoring/ testing...

Job DescriptionJob DescriptioniCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $202...

Compliance Advisor Senior Manager at Capital One summary: The Compliance Advisor Senior Manager at Capital One provides compliance support for institutional FINRA registered broker dealers, ensuring adherence to federal and state laws and regulations. This role involves advising business lines on compliance risks, maintaining policies, and participating...