Broker Dealer Compliance Jobs
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Search Results - Broker Dealer Compliance Jobs
Madison-Davis-New York
Madison-Davis, LLC invites a seasoned Head of U.S. Broker-Dealer Compliance to lead our regulatory advisory function supporting trading businesses.
You will partner with front-office and executives, shaping the broker-dealer compliance program...
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appcast.io -
Dynamics Executive Search-New York
Broker Dealer Compliance Advisory- Equities & Options
We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses.
The role will work closely...
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Stash-New York
Stash exists to put a financial advisor in everyone's pocket: investing, banking, and personalized guidance in one app for everyday Americans to invest and save with confidence.
As a Senior Associate, Broker Dealer Compliance, you’ll report...
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Northern Trust-Jersey City
leading technology and exceptional service.
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The Broker Dealer Compliance- Sr. Consultant is responsible for overseeing the interpretation, education and effectiveness of the Compliance program. They will support Northern Trust’s affiliate, a FINRA...
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LevelUP HCS-New York
Investment Banking Equity Derivatives Compliance Officer
Role:
• Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures, Capital Markets Compliance, Broker-Dealer Compliance, Front Office Advisory...
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Northern Trust-Jersey City
The Broker Dealer Compliance- Sr. Consultant is responsible for overseeing the interpretation, education and effectiveness of the Compliance program. They will support Northern Trust’s affiliate, a FINRA member broker-dealer and SEC-registered investment...
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Tangible-New York
and their advisors.
• Ensure every transaction runs within our broker-dealer's compliance framework, with complete, audit-ready records.
• Work with Finance to invoice and collect fees on completed transactions.
• Develop and maintain SOPs, partner playbooks...
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join.com -
Madison-Davis-New York
The Opportunity
A global financial-services organization is seeking an experienced Head of U.S. Broker-Dealer Compliance to lead its compliance advisory function supporting securities trading businesses. This senior leadership position will serve...
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appcast.io -
Bala Cynwyd
of 5 years of experience in securities law, broker-dealer compliance, or a related regulatory role (law firm, in-house, or regulator)
• Working knowledge of FINRA rules, Securities Exchange Act of 1934, and related SEC regulations
• Strong analytical...
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sig.com -
Madison-Davis, LLC-Stamford
An established financial services firm is seeking an experienced Chief Compliance Officer (CCO) to lead its regulatory compliance function. This senior leadership position will oversee the firm's broker-dealer compliance program, advise executive...
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New York
issues requiring escalation or system remediation.
Qualifications:
• 7-15 years experience in Broker Dealer compliance role.
• Bachelor's degree in Finance, Accounting or a related field, preferred.
• Series 7 and Series 24, preferred.
• Demonstrated...
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icims.com -
moomoo-Dallas
and address regulatory risks, support examinations and filings, and partner with business stakeholders to develop practical, risk-based solutions.
The position requires extensive broker-dealer compliance experience, strong knowledge of SEC and FINRA...
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workable.com -
Fremont
all assigned sales and referral targets.
Operations and Compliance
• Ensure adherence to all regulatory and internal compliance requirements in all sales activities.
• Ensure all broker dealer compliance/attestation/annual compliance certifications...
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icims.com -
moomoo-Jersey City
responsibilities.
• 3–5 years of relevant broker-dealer compliance experience, including direct responsibility for advertising or retail communications review.
• Working knowledge of FINRA Rule 2210 and applicable SEC communications requirements.
• Demonstrated...
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workable.com -
Bourne Partners-Charlotte
broker-dealer.
Direct experience with M&A broker-dealer compliance is required. This role is designed as a succession opportunity, with potential appointment as broker-dealer CCO within the first 6–12 months, subject to readiness, required registrations...
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