Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Head of Compliance - US Broker-Dealer & Regulatory Lead

QCP Group

A digital asset firm is seeking a Head of Compliance in New York. This role involves ensuring regulatory compliance for the firm’s US entity, with direct responsibilities for regulatory engagement, supervisory systems, and compliance program oversight. Candidates should have 8-12 years of compliance experience in broker-dealers or investment banks, with relevant licenses preferred. Join a collaborative team that values employee contributions and offers flexible working arrangements. #J-18808-Ljbffr

Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Head of Compliance - US Broker-Dealer & Regulatory Lead in New York, NY vacancy
  • $200k - $225k

     ...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier...  ...offering trading of US equities, mutual funds, ETFs...  ...institutional-grade execution and regulatory compliance in everything we...  ...Officer, you will lead initiatives to strengthen the... 
    Regulatory
    Full time
    Work at office
    Worldwide

    DriveWealth

    New York, NY
    6 days ago
  • $110k - $140k

     ...Analyst, Sales & Trading (US Equities/Options Broker-Dealer) New York, NY Galaxy is a global leader in digital assets...  ...access optimal pricing and liquidity. Ensure compliance with best execution standards and regulatory requirements across all trade flows.... 
    Regulatory
    Work at office
    Local area
    Flexible hours

    Galaxy USA

    New York, NY
    6 days ago
  • $143k - $180k

     ...MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG...  ...one of the world’s leading financial groups. Across...  ...with Tokyo head office departments.*...  ...aligned with peers and regulatory expectations.* Analyze...  ...stress testing, and compliance with assest liability... 
    Regulatory
    Work at office
    Local area
    Remote work

    MUFG Bank, Ltd

    New York, NY
    1 day ago
  •  ...based in New York, is seeking an experienced Chief Compliance Officer. The ideal candidate will have a minimum of...  ...in a senior compliance role within a Self-Clearing Broker Dealer and extensive knowledge of regulatory requirements and compliance management. The role involves... 
    Regulatory

    ACG Texas

    New York, NY
    18 hours ago
  • $135k - $165k

     ...Webull Financial is seeking an Associate Director of Compliance in New York to lead compliance efforts in regulatory frameworks including FINRA and SEC. The position requires a strong compliance professional with 5 years of related experience. The role includes drafting... 
    Regulatory

    Webull Financial LLC

    New York, NY
    1 day ago
  • $159.4k - $181.9k

     ...skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while also managing and developing a team of analysts.... 
    Regulatory

    Capital One

    New York, NY
    18 hours ago
  • Larson Maddox is seeking a Regulatory Reporting Specialist in New York, NY. This role involves daily customer and PAB reserve calculations, preparation and analysis of FOCUS reports, and collaborating with front-office, operations, and control teams on regulatory matters... 
    Regulatory

    Larson Maddox

    New York, NY
    4 days ago
  •  ...New York Self Clearing Broker-Dealer is seeking a Chief Financial Officer (CFO) to lead its financial operations and strategy...  ...planning, budgeting, and ensuring regulatory compliance. The CFO will supervise and...  ...of and experience in US GAAP financial reporting a must... 
    Regulatory

    ACG Texas

    New York, NY
    1 day ago
  •  ...our team, you will be helping us create an entirely new...  ...America, and we are looking for a Lead Compliance Manager to provide senior...  ...and ongoing oversight of the broker-dealer compliance program for Wise...  ...also supporting broader Assets regulatory and operational readiness... 
    Regulatory

    WISE Inc

    New York, NY
    5 days ago
  •  ...Gusto is seeking a Compliance Lead for its Retirement Compliance Team in San Francisco. This senior role...  ...for the Registered Investment Adviser and Broker-Dealer entities, ensuring frameworks and controls align with regulatory requirements. Ideal candidates will have... 
    Regulatory

    Gusto

    New York, NY
    1 day ago
  • $156.17k - $192.61k

     ...interview process. Role Overview The Compliance Lead, Broker‑Dealer & Investment Adviser is a senior member...  ...Team, reporting directly to the Head of Compliance. This role owns the compliance...  ...compliance lead on all FINRA and SEC regulatory matters, including filings,... 
    Regulatory
    Full time
    Local area

    Gusto

    New York, NY
    1 day ago
  •  ...with at least 6 years of progressive accounting experience, particularly within the Broker-Dealer sector. Key responsibilities include overseeing financial reporting, regulatory compliance, and internal control management. Strong leadership and technical expertise are... 
    Regulatory

    Liberty Personnel Services, Inc.

    New York, NY
    1 day ago
  •  ...Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working...  ..., detecting and remediating regulatory issues at a tech-enabled broker-dealer...  ...responsible for registrations and lead the following: coordination of broker... 
    Regulatory

    ACG Texas

    New York, NY
    1 day ago
  •  ...A leading financial services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role involves managing financial...  ...operations, financial reporting, and regulatory compliance with at least 5 years of relevant... 
    Regulatory
    Work at office

    Menlo Ventures

    New York, NY
    1 day ago
  •  ...QCP is Asia's leading digital asset partner, empowering...  ...that we do. The Head of Compliance will be responsible...  ...program of QCP’s US’s entity which will act...  ...direct responsibility for regulatory compliance,...  ...Principal of the U.S. broker-dealer. Develop, implement... 
    Regulatory
    Casual work
    Immediate start
    Flexible hours

    QCP, Inc.

    New York, NY
    5 days ago
  •  ...is looking for a highly experienced VP candidate for their Broker-Dealer Regulatory Reporting team. This role involves overseeing SEC...  ...reporting, managing net capital computations, and ensuring compliance with regulatory requirements. Candidates should have over... 
    Regulatory

    TD Bank

    New York, NY
    3 days ago
  • $118k - $188k

     ...The Vice President of Broker Dealer and Middle Office Operations will lead a team responsible for the clearing, settlement...  ...timely trade settlement, regulatory compliance, and risk mitigation. This position...  .... Visit to learn more about us. Our Culture of Impact At... 
    Regulatory
    Work experience placement
    Work at office

    Nuveen

    New York, NY
    11 days ago
  • $200k - $225k

     ...continued evolution. About the Role As Director - Broker-Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the Company’s Broker-Dealers. You will...  ...of financial results in accordance with US GAAP every month Work with Legal and... 
    Regulatory
    Work at office
    Work from home
    Work visa
    Flexible hours

    Tensec

    New York, NY
    2 days ago
  • $150k - $180k

     ...VP candidate to support our Broker-Dealer Regulatory Reporting team. This role...  ...business partners to ensure full compliance with applicable SEC and...  ...clients who choose us for our innovation, execution...  ...trusted advice and industry-leading insight, extending access to... 
    Regulatory
    Work at office
    Local area
    Work from home
    Flexible hours

    TD Bank

    New York, NY
    6 days ago
  • $150k - $185k

     ...of Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities...  ...well as knowledge of various regulatory reporting requirements. Such...  ...Support the Head of U.S. Broker-Dealer Compliance...  ...with others is necessary for us to succeed at what we do. Developing... 
    Regulatory
    Immediate start

    Rex Technologies GmbH

    New York, NY
    2 days ago
  • $150k - $185k

     ...Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on...  ...well as knowledge of various regulatory reporting requirements. Such...  ...Responsibilities: Support the Head of U.S. Broker-Dealer Compliance...  ...others is necessary for us to succeed at what we do.... 
    Regulatory
    Immediate start

    Marex, Inc.

    New York, NY
    6 days ago
  • $110k - $165k

    Webull is a leading digital brokerage platform built...  ...Senior Accountant with broker-dealer experience to own...  ...accounting, operations, and compliance to ensure accurate...  ...Broker-Dealer & Regulatory Accounting Support...  ...is a top priority for us, which is why we have... 
    Regulatory
    Temporary work
    Work at office
    Worldwide
    Monday to Friday

    WEBULL

    New York, NY
    5 days ago
  • $170k - $190k

    Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer...  ...+ bonus Overview A leading global financial institution...  ..., completeness, and compliance with regulatory...  ...standards, and relevant US GAAP for financial...  ...Executive Director, Head of Clinical Quality Assurance... 
    Regulatory
    Full time
    Work at office
    Remote work

    Madison-Davis, LLC

    New York, NY
    18 hours ago
  • $135k - $160k

     ...Betterment Betterment is a leading, technology‑driven...  ...operates Betterment’s broker‑dealer entity that safeguards...  ...internal controls, and regulatory and financial reporting to maintain compliance with relevant FINRA and...  .... On average, it takes us around 3–5 weeks to make... 
    Regulatory
    Temporary work
    Work at office
    Local area
    Monday to Thursday
    Flexible hours

    GoToMeeting

    New York, NY
    1 day ago
  •  ...Senior Vice President, Deputy Head of US Sanctions Compliance About the Company A globally recognized...  ...a significant global footprint and regulatory presence. Industry Banking...  ...and dispositioning sanctions alerts, leading complex investigations, identifying... 
    Regulatory

    Confidential

    New York, NY
    3 days ago
  • $263k - $360.93k

     ...Head of US Compliance and Deputy Chief Compliance Officer (Executive Director) Reports to Chief Compliance...  ...Head of US Compliance and Deputy CCO leads Stemline’s US Compliance program and...  ...is complying with its legal and regulatory obligations and undertake a continuous... 
    Regulatory
    Temporary work
    Work at office
    Remote work
    Flexible hours

    Menarini

    New York, NY
    1 day ago
  • $114.73k - $155.22k

     ...The Broker Dealer and Investment Advisor (also referred to...  ...growth objectives with regulatory, credit, and...  ...liaison with Legal and Compliance Ensure compliance with...  ...including FINRA Rule 3240 Lead audit and exam preparation...  ...accommodation, please let us know by sending an... 
    Regulatory
    Hourly pay
    Full time
    Local area
    Flexible hours

    Thrivent Financial

    New York, NY
    5 days ago
  •  ...Bristol Myers Squibb is seeking a Director, US Regulatory Lead to oversee regulatory strategy for Immunology and Cardiovascular therapeutic areas. The role focuses on managing FDA interactions and filing NDA submissions. Candidates should have extensive regulatory affairs... 
    Regulatory

    Bristol-Myers Squibb

    New York, NY
    5 days ago
  • $170k - $270k

     ..., including legal and regulatory analysis of existing products...  ...’ requests. Assist Compliance in producing responses...  ...FINRA rules governing broker-dealers. Knowledge of the SEC...  ...in 1869, we are a leading global investment banking...  ...-time and part-time US employees who work at... 
    Regulatory
    Full time
    Temporary work
    Part time

    Goldman Sachs Group, Inc.

    New York, NY
    2 days ago
  • $150k - $180k

     ...VP candidate to support our Broker-Dealer Regulatory Reporting team. This role...  ...business partners to ensure full compliance with applicable SEC and...  ...clients who choose us for our innovation, execution...  ...trusted advice and industry-leading insight, extending access to... 
    Regulatory
    Full time
    Work experience placement
    Work at office
    Local area
    Work from home
    Flexible hours

    TD

    New York, NY
    11 hours ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Head of Compliance - US Broker-Dealer & Regulatory Lead. Be the first to apply!