Prime Brokerage Compliance Specialist
$90k - $155k6AM City, LLC
6AM City, LLC is seeking a Prime Brokerage Compliance Professional in New York, NY. This role involves providing compliance coverage and regulatory guidance, as well as collaborating across the Legal and Compliance Department. The ideal candidate will have strong analytical skills, a Bachelor's degree, and 1-5 years of relevant experience. You will play a key role in maintaining compliance across business operations while contributing to a culture of collaboration and integrity. With a commitment to excellence, the firm offers a competitive salary range of $90,000 to $155,000 per year, along with comprehensive benefits and perks. #J-18808-Ljbffr 6AM City, LLC
$191k - $305k
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to support the continued growth of its Prime Brokerage platform within Corporate & Investment Banking (CIB). The Senior Lead Compliance Officer will provide compliance coverage...SuggestedFull timeWork experience placementFlexible hours- ...Head of Prime Brokerage Risk About the Company Prominent financial services firm specializing in investment management, research... ...collaborating with various internal teams, including front office, compliance, legal, and operations. The ideal candidate will have...Suggested
$75k - $90k
...Operations support professional to join their team in helping manage Equity Brokerage and Prime Brokerage. Responsibilities include processing equity/options transactions and ensuring compliance with regulatory requirements. Candidates should have 1-5 years of...Suggested$225k
...with global counterparties for trading products such as cash prime brokerage and equity derivatives, ensuring the bank is protected from... ...related to documentation, process automation and regulatory compliance. Education & Experience ~ Law degree required. ~5+ years...SuggestedWork at officeLocal area- ...We’re seeking someone to join our Prime Brokerage Business Control Unit (BCU) team as an Executive Director focused on Cleared Listed Derivatives... ...across product strategy, operational processes, regulatory compliance, and risk management. The role requires close partnership...SuggestedFull timeTemporary workWork at office
$150k - $200k
...Institutional Securities Group (ISG) Derivative Prime Brokerage Risk is responsible for monitoring and managing the market risk of multi-asset portfolios in the listed markets, OTC cleared derivatives, FX Prime Brokerage and Prime Brokerage on both an intraday and overnight...Full timeTemporary workWork at officeNight shift- ...excels at managing multiple priorities Preferred qualifications, capabilities, and skills Experience supporting Equities, Prime Brokerage, Securities Financing, and/or Broker-Dealer platforms, including familiarity with front-to-back trade workflows (trade capture,...
$98.96k - $148.44k
Citigroup Inc. is hiring for the Prime Brokerage Account Management team, focusing on delivering a best-in-class client experience and driving... ...needs, coordinating internal resources, and adhering to compliance guidelines. The ideal candidate will have 4-8 years of...- APAC Prime Finance and FDC (Futures & Derivatives Clearing) Risk Manager Job Req Id: 2... ...and platform risk management across Prime Brokerage, FX Prime Brokerage (FXPB), Futures &... ...proactively propose risk solutions. Ensure full compliance with In-Business Risk Procedures,...Full timeNight shift
$100k - $140k
Dormont Manufacturing Co is seeking an Account Manager for their Prime Brokerage Client Service team. The role involves servicing institutional clients and managing relationships to provide exceptional client support. Daily tasks include managing client accounts and facilitating...- ...and transition initiatives for institutional clients across Prime Brokerage, Clearing, Custody, and Financing services. This individual... ...Coordinate across Sales, Product, Operations, Technology, Legal, Compliance, Risk, and Client Coverage teams Monitor project progress,...
- ...a Global Markets Accounting Lead to oversee all brokerage related accounting and reporting functions. The role requires compliance oversight, process implementation, and expertise in US GAAP, especially related to prime brokerage services. Candidates should have at least...
- ...provides customers with a single source of unmatched Customs Brokerage (Canadian, US, Mexican), Trade Managed Solutions, Freight Forwarding... ...services in a memorable way. Buckland is looking for a Compliance Team Leader - Classification (LCB) (Eligible applicants must reside...
$150k - $200k
Morgan Stanley is seeking an experienced Senior Associate/Vice President to join the Risk team in New York. This role involves risk analysis of multi-asset portfolios and collaboration with various internal teams. Candidates must have 7+ years of experience in financial...- Capital Markets - Prime Services, 2 Analyst - Fall 2026 US Graduate Program New York City... ...may assist with audits, reporting, compliance, financial transactions, client onboarding... ...risk management, trade execution, prime brokerage, and client services. In addition to practical...Full timeImmediate start
- Job Description Position Summary: The Trade Compliance Specialist - Import Operations is responsible for managing Victaulic’s day‑to‑day U.S... ...direct experience in U.S. import compliance operations, customs brokerage, or trade compliance in a manufacturing environment....
- ...Prime Brokerage Client Executive, Prime Services, Assistant Vice President Discover your future at Citi Working at Citi is far more... ...in close partnership with control functions such as Legal, Compliance, Market and Credit Risk, Audit, Finance in order to ensure appropriate...
- ...ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan. Position Summary: The Trading and Surveillance Compliance Specialist supports the front office sales and trading desks for the fixed income,...Temporary workWork at officeLocal areaRemote workFlexible hours3 days per week
$82.7k - $133k
...Description We are looking for a talented Contracts Manager to support our rapidly growing Buy with Prime and Amazon Multi-Channel Fulfillment businesses. The successful candidate has excellent communication skills, and will support drafting and negotiating contracts...Contract workFlexible hours$55 - $60 per hour
...Base pay range $55.00/hr - $60.00/hr Direct message the job poster from Confidential Position Overview Contract – Bank Regulatory Compliance Officer Department: Compliance – Bank Regulatory Compliance Location: New York Business Overview The Bank Regulatory Compliance...Contract workTemporary work- ...Get AI-powered advice on this job and more exclusive features. Direct message the job poster from Medasource Regulatory Compliance Specialist – EU Clinical Trials (Drug/Device Combo Products) Contract Duration: ~6 months (potential for extension or early completion) Start...Full timeContract workImmediate startRemote work
- ...chocolate croissants, fluffy pancakes, and our large range of outstanding French brioches. Job Description The Regulatory & Compliance Specialist ensures that Bakerly products, processes, and external partners comply with applicable food regulations, certification requirements...Full timeTemporary workWork at officeLocal areaFlexible hours
- ...About the Opportunity MoonPay is looking for a Regulatory Compliance Specialist to join our growing Compliance team. In this role, you will support the day‑to‑day maintenance of MoonPay's US Money Transmitter License portfolio and help ensure we meet our ongoing state...Work at officeRemote workHome office
- ...education and professional development. Summary Of The Role We are looking for an experienced and dynamic Permitting & Regulatory Compliance Specialist II to join our growing team. In this role you will independently manage a defined caseload of permitting and compliance...Work at officeImmediate startRemote workFlexible hours
- ...Phaxis is seeking a professional in New York, NY, for a compliance-focused role. The ideal candidate will coordinate meetings, maintain compliance-related documentation, and assist with regulatory reporting and audits. Qualified individuals should have 1+ years of experience...Work at office
$90k - $103k
...powers the entire flow between fiat and crypto end to end, including compliance, identity checks, fraud prevention and settlement. About the Opportunity MoonPay is looking for a Regulatory Compliance Specialist to join our growing Compliance team. In this role you will...Remote workHome office$65k - $75k
...in Sweden and employs around 9000 people in 20 locations and 10 studios globally of which 2 in the US and 1 in Canada. As a Compliance Specialist within the U.S. Regulatory Compliance team, you will play a key role in ensuring the company adheres to applicable gaming industry...Work at officeFlexible hours- ...is seeking experienced Residential Real Estate Industry Representatives to promote their innovative CRM platform to real estate brokerages. Ideal candidates will have strong relationships with brokerage leaders and experience in sales roles such as Title or Home Warranty...Remote job
$43.69 per hour
...Description Pay Rate: $43.69 per hour Required Skills: Understanding of the OTC derivatives market and regulations 3-7 years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk...Hourly payPermanent employment- ...Reporting to the Assistant Director of Compliance, the chief responsibility for the Compliance Specialist is to assist in achieving quality compliance with the requirements of the WSFSSH’s external funders and regulators, thereby safeguarding WSFSSH’s assets and income...Work experience placementWork at officeFlexible hours
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