Senior VP, Markets Compliance — FINRA/Broker-Dealer Lead
BNY
BNY is seeking a Senior Vice President for the Markets Compliance team to support the US Broker Dealer. The role is based in New York City and involves partnering with business leads, Compliance, Finance, and Operations to maintain a robust compliance program for broker-dealer activities. You will conduct risk assessments, analyze regulatory developments, and support remediation efforts in collaboration with the Chief Compliance Officer. #J-18808-Ljbffr BNY
$1,000 per day
A leading consulting firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the...SeniorContract workWork at office- Partnership Employment in New York seeks an experienced compliance leader to partner with executive leadership and shape a robust compliance framework aligned with securities regulations. You will oversee monitoring, supervisory reviews, investigations, regulatory filings...Senior
- The Marex Head of Broker Dealer Compliance leads a team of compliance officers providing advisory services for Equities, Fixed Income, Listed Options and regulatory reporting to the Americas Broker Dealer units. The role focuses on real-time guidance, ensuring adherence...Suggested
- Dynamics Executive Search is seeking a senior Compliance professional for a brokerage advisory role focused on equities and options. The candidate... ...risks, and maintaining supervisory controls across markets. The role involves collaboration with Legal, Risk, Operations...Senior
- ...Capital Resources in New York City seeks a Chief Compliance Officer to lead a full-time program for a FINRA-registered broker-dealer. The candidate will design, implement, and oversee the compliance framework, advise senior management on regulatory developments, and...SuggestedFull time
$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate... ...product developments, marketing initiatives, and engineering... .... Contribute to the compliance program — account-opening... ...the RIA. What you bring FINRA Series 7 and 63/66...SeniorPermanent employmentRemote workFlexible hours- ...previous reporting periods on a monthly, quarterly, and annual basis Preparing journal entries and monthly account reconciliations Compliance with SEA xhyhwjd Rule 15c3-3 and SEA Rule 15c3-1. FOCUS and FINRA reporting Broker Dealer Experience Required...
- ...and save with confidence. As a Senior Associate, Broker Dealer Compliance , you’ll report to the Vice President... ..., Brokerage Operations, Product, Marketing, Engineering and other constituent... ...inquiries. Coordinate responses to FINRA regulatory filings, regulatory...SeniorFull timeWork experience placement
$199.5k - $275k
...Broker-Dealer & Cash Equities Attorney - Assistant General Counsel - Vice... ...closely with the business, compliance, other internal control functions... ...Regulatory Authority (FINRA) and other Self-regulatory organizations... ...business and advise on market structure developments, best...- ...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 with business...Full time
- ...Senior Treasury / Liquidity Management – Broker-Dealer New York City | Financial Services I'm working with a highly regarded, growing investment bank and... ...professionals who have operated within boutique or middle-market broker-dealers/investment banks, where Treasury...SeniorTemporary work
$100k - $110k
...individual to work at a growing U.S. broker-dealer subsidiary of a global... ...presentation material to Senior Management and quarterly presentation... ...Assist with preparation of FINRA FOCUS Reports including the... ..., certifications obtained. Market and organizational factors are...SeniorExtra incomeWork at office$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description The Compliance Risk Manager will support Capital One's broker dealers compliance... ...in accordance with FINRA rules and regulations. Gifts... ...associates as necessary. Marketing Material and Public Appearance...Full timePart timeWork at officeLocal areaFlexible hours- ..., and continuously strengthen the firm's compliance framework in alignment with applicable securities... ...assurance activities. Act as a senior resource for escalated regulatory,... ...process improvements where necessary. Lead regulatory engagement activities, including...Full time
$159.4k - $181.9k
...enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while... ...have expertise in trade surveillance, market regulation, and the ability to communicate...- ...Licensing & Registration Manager to oversee the firm-wide licensing and registration lifecycle for RRs, IARs, and dual registrants across FINRA, the SEC, and state jurisdictions. You will manage Form U4/U5/BR filings, Form ADV amendments, and ongoing regulatory reporting with...Senior
$213.31k - $355.45k
...Overview LPL Financial is a leading independent broker‑dealer supporting over 32,000... .... Position Overview Senior Vice President, Associate... ...broker‑dealer, advisory, compliance, supervision, risk, business... ..., including SEC and FINRA oversight. Working knowledge...- Securities and Exchange Commission seeks an Attorney-Advisor (Regulatory Counsel) for the Broker-Dealer Exchanges Program (BDX) in New York, NY. The role supports nationwide examinations of broker-dealer entities and investment advisers under securities laws. Qualifying...Senior
- ...About TPG : TPG is a leading global alternative asset management... ..., credit, Real estate, and market solutions, and our unique... ...for an Associate to join its broker-dealer Compliance team in the New York office.... ...with the Advisers Act and FINRA rules preferred ~ FINRA Series...Full timeWork at officeLocal area
- BBVA, a global financial services company, is seeking a Broker-Dealer Accounting Senior Analyst in New York. The role involves maintaining accounting policies for the broker-dealer, reconciliations, and assisting with month-end close and quarterly board materials. You will...Senior
- Lockton is seeking Brokers to join our Portfolio Solutions Team in New York City. You will lead revenue generation for reinsurance contracts, developing client relationships, managing staff, and driving production efforts. The ideal candidate has a Bachelor's degree or...Senior
$130k - $180k
...job poster from Phaxis Compliance, Fincrime, & Risk... ...agency. Familiarity with broker-dealer regulations and rules from the SEC, CFTC, FINRA, or other relevant regulatory... ..., Python) is a plus. Seniority level Seniority level... ...Banking, and Capital Markets Referrals increase...Full timeRemote work- ...Associate with 3+ years' experience advising broker-dealers and other financial services clients on... ...securities regulatory issues affecting market participants. The role offers... ...and exposure to high-profile matters for leading institutions, with opportunities to develop...
- ...an attorney with a substantive focus on broker-dealer regulation to join its regulatory practice... ...on complex securities matters for leading financial institutions. You will counsel... ...on Securities Exchange Act obligations, FINRA rules, and related state and federal securities...
- ...securities transfers, and corporate action processing with rigorous documentation and controls. Collaborate across Engineering, Product, Trading, and Compliance teams to resolve time-sensitive operational issues and improve workflow efficiency. #J-18808-Ljbffr Partner CompanyRemote job
- ...Capital and Private EquitySelling Points Lead impactful fund accounting operations for... ...DescriptionSenior Fund Accountant OverviewThe Senior Fund Accountant role focuses on managing... ...fund business activities.Contribute to compliance with fund governing documents and...Senior
- ...AnnuallyIndustry Fund Administration;Private EquitySelling Points Lead impactful fund accounting operations in a collaborative hybrid... ...and financial reporting for private investment funds, ensuring compliance with US GAAP and industry standards.Collaborate with auditors,...Senior
- Hold Brothers Capital, LLC, a self-clearing broker-dealer in US equities, headquartered in New York, seeks a Deputy CFO to manage day-to... ...under the CFO, ensure timely financial reporting, regulatory compliance and strong internal controls. Key duties include payroll administration...Remote job
- ...JPMorgan Chase in New York seeks a Senior Home Lending Advisor to guide clients through the mortgage process and act as the primary... ...cycle. You will promote Chase products while ensuring regulatory compliance and exceptional service. You will collaborate with branch teams...Senior
$211.28k - $316.92k
...Category: LegalCompany: CitiThe Senior Lead Counsel I is a senior level... ...and assets, by driving compliance with applicable laws, rules... ...practices affecting financial markets participants. Familiarity with... ...merchants, clearing brokers, derivatives market participants...SeniorFull time
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior VP, Markets Compliance — FINRA/Broker-Dealer Lead. Be the first to apply!
- vice president brand marketing New York, NY
- vice president direct marketing New York, NY
- vp marketing remote New York, NY
- vice president sales & marketing New York, NY
- vice president global marketing New York, NY
- vice president of marketing New York, NY
- vp marketing New York, NY
- vice president marketing technology New York, NY
- vice president marketing communications New York, NY
- private jets trainee broker New York, NY






