Broker Dealer Compliance jobs

Found 3 jobs
  • Compliance Associate
    • New York
    • Negotiable
    • Posted 5 days ago

    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...

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  • Deputy Head of Compliance Advice
    • New York
    • US$200000 - US$225000 per annum + Bonus
    • Posted 6 days ago

    Our client, a prestigious and global Institutional Financial Services group, is looking to hire a Senior Compliance Manager to provide specialist product specific Compliance advice and guidance to senior leaders and key members of the firm's Capital Markets and Broker Dealer business. The incumbe...

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  • Chief Compliance Officer - Broker Dealer
    • Charlotte
    • US$200000 - US$230000 per annum
    • Posted 15 days ago

    Are you ready to take charge of compliance within a dynamic institutional broker dealer environment? We're seeking an experienced Chief Compliance Officer - Broker Dealer who will ensure that our operations adhere strictly to financial regulations and ethical standards. This pivotal role is based...

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