Broker-Dealer Regulatory Associate
McDermott Will & Schulte
McDermott Will & Schulte's Financial Institutions Group in New York seeks an Associate with 3+ years' experience advising broker-dealers and other financial services clients on regulatory matters. You will work with partners on a broad spectrum of securities regulatory issues affecting market participants. The role offers substantial client contact and exposure to high-profile matters for leading institutions, with opportunities to develop deep regulatory expertise and cross‑practice #J-18808-Ljbffr McDermott Will & Schulte
- McDermott Will & Schulte seeks an attorney with a substantive focus on broker-dealer regulation to join its regulatory practice in New York. The role involves advising on complex securities matters for leading financial institutions. You will counsel on Securities Exchange...Suggested
- ...to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations. Provide strategic oversight of monitoring, supervisory review, investigative processes, regulatory filings, and compliance...Suggested
$150k - $185k
...Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on... ...activities, as well as knowledge of various regulatory reporting requirements. Such guidance is... ...of the risk and compliance requirements associated with this. Salary Range: $150,000 to...SuggestedFull timeImmediate start$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...SuggestedContract workWork at office- ...global alternative asset management firm, is seeking an Associate for its broker-dealer Compliance team in New York. You will conduct compliance... ...market activities and design policies to ensure legal and regulatory obligations are met. Responsibilities include reviewing...Suggested
$120.8k - $137.9k
...investigative Trade Surveillance Principal Associate to play a key role in executing and... ...program across both its institutional Broker‑Dealer (BD) and Swap Dealer (SD) businesses. This... ...Commission), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity Futures...Full timeLocal area- Senior Treasury / Liquidity Management - Broker-Dealer New York City | Financial Services I’m... ...Support liquidity requirements associated with equity and fixed-income underwriting... ...Partner closely with Finance, Operations, Regulatory Reporting and Sales & Trading Maintain...Temporary work
$145k - $209k
...with a deep understanding and focus on Broker-Dealer activities. Major Responsibilities:... ...Monitor developments in regulatory guidelines, assess requirements and implement... ...Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed...Full timeWork at officeLocal areaRemote work- ...Head of U.S. Broker-Dealer Compliance About the Company Global financial-services organization with securities trading and broker... ...enhancing the broker-dealer compliance program, leading responses to regulatory matters, and promoting a culture of strong judgment and...
- 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...
- ...robust compliance framework aligned with securities regulations. You will oversee monitoring, supervisory reviews, investigations, regulatory filings, and governance for product reviews and risk assessments, escalating matters as needed and guiding improvements across...
- ...or Urbandale, IA. This hybrid role requires three days in the office weekly and reports to the CFO. You will coordinate audits, regulatory filings, and management reporting across regulated entities to ensure FINRA/SEC compliance while driving operational excellence....Work at office
- ...Treasury, lead ALM matters relating to the broker‑dealer balance sheet monitoring and explaining... ...risk Liaise with Cash Management, Regulatory Reporting, Risk, and Operations, as necessary... ...and support mitigating any associated risks Monitor the regulatory environment...Flexible hours
$151.9k - $173.4k
...Overview Broker Dealer Advisory Manager Job Description The Compliance Risk Manager... ...and entertainment for broker dealer associates as necessary. Marketing Material and... ...branch offices according to the appropriate regulatory schedule. Designated Principals...Full timePart timeWork at officeLocal areaFlexible hours$140k - $150k
...experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the... ...investing! About The Team As the executing and clearing broker-dealer, DriveWealth LLC self-clears trades, custodies assets on behalf...Full timeWork at officeRemote workWorldwideFlexible hours3 days per week- Job OverviewA law firm seeks an Associate for its Financial Institutions Group in New York. The candidate will have at least three years of experience advising broker-dealers and financial services clients on regulatory matters. This role involves significant client interaction...
- ...- 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 U.S. registered...
- ...Recruiting’s client seeks a Staff Accountant to join its accounting team in New York. This hands-on role offers exposure to broker-dealer accounting, regulatory reporting, and the financial close process. The Staff Accountant will support day-to-day activities including...
$290k - $335k
...become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's... ...Marex and regulatory bodies. Role Summary The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads...Full timeWorldwide- ...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...
- 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...
$245k - $290k
Squire Patton Boggs (US) LLP seeks an Associate to join our insurance team as part of the Global Financial Services Practice Group. The... ...in any of our U.S. Offices. About the Practice Our Insurance Regulatory and Compliance practice represents global, national, and...Work at officeLocal area- ...Audit & Assurance team in New York. You will lead engagement teams, manage client relationships, and help clients navigate complex broker-dealer accounting matters, ensuring high-quality audits and compliance. The role emphasizes growth, leadership, and service excellence,...
$70.6k - $139.8k
...Assurance that align with your professional goals. Are you up for the challenge? We’re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical. As an Audit Senior Associate , you will further learn to lead, gain deep industry insight,...Local areaWorldwideHome office- Hold Brothers Capital, LLC, a self-clearing broker-dealer in US equities, headquartered in New York, seeks a Deputy CFO to manage day-to... ...accounting under the CFO, ensure timely financial reporting, regulatory compliance and strong internal controls. Key duties include payroll...Remote job
- Join the NA Broker Dealers and Market Structure Payments Sales team! As a Payments Sales Manager (PSM) Executive Director within the Financial... ...communication and negotiation skills. Understanding of the regulatory and compliance environment in the market with strong...Overseas
- ...practice, which specializes in serving, introducing and clearing broker dealer clients of the firm. Our Capital markets practice is... ...accounting environment* Experience leading teams and mentoring associates* Understanding of audit services with knowledge of GAAP, GAAS...
$131.8k - $150.5k
Principal Swap Dealer Compliance Advisor The role is Principal Swap Dealer - Compliance Advisory. Capital One, National Association is a Commodity Futures Trading Commission (CFTC) registered... ...Treasury through providing expert regulatory advice and thoughtful...Full timeContract workPart timeLocal area$159.4k - $181.9k
Trade Surveillance Manager (Broker-Dealer & Swap Dealer) - Capital One About the Role We are... ...compliance with SEC, FINRA, CFTC, and NFA regulatory requirements. The ideal candidate will... ...(FINRA Series 7/24, NFA Swap Dealer Associated Person proficiency). Strong understanding...Full timePart timeLocal area- Webull Financial in New York, NY seeks a seasoned Controller to lead broker-dealer accounting and the close process across multiple entities. The role drives monthly, quarterly, and annual reporting in compliance with U.S. GAAP, guiding internal controls and working with...Work at office
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