Senior Broker-Dealer Compliance Officer
$130k - $170kSocial Capital Resources
Social Capital Resources in the New York City metropolitan area is hiring a Compliance Officer for a full-time finance role. The position focuses on regulatory compliance for a broker-dealer and requires 7-12 years of experience in a self-clearing broker-dealer environment. The base pay range is $130,000.00 to $170,000.00 per year, with annual bonus potential. Benefits include medical insurance, 401(k), and paid leave options. #J-18808-Ljbffr Social Capital Resources
$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- Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance associated with the SBSD and partner with various... ...Prior experience at a regulator, private firm, broker dealer or required Expert knowledge of SEC, FINRA rules related...SeniorFull time
- We're working with an established institutional broker-dealer that is seeking an experienced Compliance Officer to provide broad-based coverage across its trading... ...Serve as a compliance liaison to trading desks and senior management. Coordinate regulatory examinations,...SuggestedWork at office
$130k - $170k
...0.00/yr Additional compensation types Annual Bonus Broker-Dealer in NYC is seeking a Compliance Officer for a full-time position! Responsibilities: Broker-... ...trade execution as well as policies and procedures. Seniority level Mid-Senior level Employment type Full-time...SuggestedFull time- ...Program across BD Securities and Wealth Management. You will guide CIP/KYC/CDD processes, perform EDD reviews, and liaise with front office and regulators on complex cases. Candidates should bring 5+ years of AML experience, strong collaboration skills, and CAMS or...Senior
- BNY is seeking a Senior Vice President of Segment Marketing for the Banks & Broker Dealers segment, located in New York, NY. The role drives the overall marketing strategy across global and regional priorities, shaping segment positioning and value propositions to deepen...Senior
$200k - $240k
...particularly across Independent Broker Dealers (IBD). This role will... ...Serve as a strategic advisor to senior stakeholders, helping them... ...with a focus on scalability, compliance, and operational efficiency.... ...this role will work in the office Monday‑Thursday, with the flexibility...SeniorFull timeWork at officeRemote work- U.S. Bank is seeking a Senior Auditor within Corporate Audit Services to support independent... ...assurance across Capital Markets and broker-dealer activities. You will assist with risk... ...results. Collaboration with risk, compliance, and business teams is essential. #J-1...Senior
- PIMCO Ltd. - Pacific Investment Management Company, based in New York, seeks a Senior Vice President to lead Legal and Compliance for PI's broker‑dealer operations. You will shape the compliance framework and supervise FINRA‑related activities to support distribution of...Senior
$140k - $160k
Ripple is looking for a Senior Accountant to join our team in New York. In this role, you will handle broker-dealer accounting, maintain the general ledger, and prepare financial statements while working in a dynamic, collaborative environment. This position offers an exciting...Senior$99.4k - $142k
...The Department: Finance The Role: Senior Associate, Trading Operations (Broker Dealer) This role is required to be in... ...a week at our New York City, NY office. Responsibilities: Execute daily... ...trading eligibility Partner with Compliance, Finance, Product and Engineering...SeniorWork at officeRemote workFlexible hours- 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
- Atrium is seeking a Regulatory Reporting Director in New York to lead accounting and regulatory reporting for a U.S. broker-dealer, ensuring SEC/FINRA compliance and guiding strategic initiatives. You will manage a team, oversee net capital computations, and coordinate with...Senior
- ...Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public Company Founded 1989 Employees 5001-10,000 Categories...Senior
- ...motivated accounting professional for a broker-dealer subsidiary. You will manage accounting policies... ...-end close, and financial reporting to Senior Management and the Board. The role... ...institutions, US GAAP knowledge, and strong MS Office skills. Experience with Broadridge...Senior
- Gemini is seeking a Senior Associate for Trading Operations (Broker Dealer) to manage daily trade workflows, settlements, and risk controls in a hybrid New York City environment. The role collaborates with Compliance, Finance, Product and Engineering to ensure regulatory...Senior
$70.6k - $139.8k
Crowe is seeking an Audit Senior Associate for its New York office. The role involves leading client engagements, supervising staff, and maintaining client relationships in the Broker Dealer industry. Candidates should have over 2 years of experience in public accounting...SeniorWork at office$100k - $110k
## Broker-Dealer Accounting Senior AnalystApplyremote type: Hybridlocations: New Yorktime type: Full timeposted on: Posted Todaytime left to apply... ...Accounting* US GAAP knowledge* Proficiency in Microsoft Office* Strong analytical and problem-solving skillsPreferred* CPA...SeniorExtra incomeWork at office- Marex in New York seeks a Head of Broker Dealer Compliance to lead a team responsible for the Americas Broker Dealer advisory services across Equities, Fixed Income and Listed Options with emphasis on real-time guidance and regulatory reporting. You will partner with business...
$70.6k - $139.8k
...challenge? We’re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical. As an Audit... ...in your aligned home office state. (150 eligible credit hours... ...travel to various client sites. In compliance with federal law, all persons hired...SeniorLocal areaWorldwideHome office- ...an experienced audit leader to oversee a team of auditors for broker-dealer clients and drive high-quality, compliant engagement delivery.... ...of audit strategies, monitor budgets, and present findings to senior leadership. Travel to client sites is required, with opportunities...Senior
$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker-Dealer &... ...engineering projects. Contribute to the compliance program — account-opening... ...lunch every day in our SF and NYC offices Location New York, NY, USA, San Francisco...SeniorPermanent employmentRemote workFlexible hours- Nomura in New York is seeking a Distribution Compliance Associate within the Compliance department. The role administers the Delaware Distributors, L.P. broker-dealer compliance framework, focusing on sales practices, licensing, testing, and continuing education, with close...
- Nomura Holdings, Inc. in New York invites applications for Distribution Compliance Associate in the NAM International division. This role supports the broker-dealer compliance program for DDLP and regulatory requirements across sales practices, licensing, testing, and...
- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting in surveillance of trading activity, updating policies, and handling regulatory reporting...
- A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker-dealer compliance role. This position sits on a small team so will be a compliance generalist. Day to day you will: Assist with surveillance...
- ...Mondrian Alpha Our client is a leading global broker-dealer, recognized for its ability to navigate... ...accurate financial reporting, strict compliance with regulatory requirements, and providing actionable insights to senior leadership. You’ll work closely with operations...SeniorFull timeWorldwide
$110k - $140k
...Robert Half Financial Services is recruiting for a Compliance Associate role for a global Broker Dealer firm located in downtown Manhattan, New York. Our client... ...4 days per week in the downtown Manhattan New York office, but does require 5 days in during the first few...Work at officeRemote work$220k - $250k
...NY-based positions (four days/ week in-office, with no required office days during the... ...live better. As Product Leader for our Broker-Dealer division (Custody, Trading, and Market... ...company, and partner closely with Legal, Compliance, Operations and Capital Markets to...Temporary workSummer holidayWork at officeFlexible hours- BNY Mellon in New York, NY, seeks a Senior Vice President, Segment Marketing to lead the Banks & Broker Dealers marketing strategy on a global scale. You will shape segment positioning, develop go-to-market plans, and partner with senior stakeholders across regions to drive...
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