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
$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...RegulatoryFull timeWork at officeWorldwide$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....RegulatoryWork at officeLocal areaFlexible hours$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...RegulatoryWork at officeLocal areaRemote work- ...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
$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$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- 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
- ...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
- ...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
- ...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
$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,...RegulatoryFull timeLocal area- ...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
- ...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
- ...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...RegulatoryWork at office
- ...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...RegulatoryCasual workImmediate startFlexible hours
- ...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
$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...RegulatoryWork experience placementWork at office$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...RegulatoryWork at officeWork from homeWork visaFlexible hours$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...RegulatoryWork at officeLocal areaWork from homeFlexible hours$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...RegulatoryImmediate start$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....RegulatoryImmediate start$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...RegulatoryTemporary workWork at officeWorldwideMonday to Friday$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...RegulatoryFull timeWork at officeRemote work$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...RegulatoryTemporary workWork at officeLocal areaMonday to ThursdayFlexible hours- ...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
$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...RegulatoryTemporary workWork at officeRemote workFlexible hours$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...RegulatoryHourly payFull timeLocal areaFlexible hours- ...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
$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...RegulatoryFull timeTemporary workPart time$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...RegulatoryFull timeWork experience placementWork at officeLocal areaWork from homeFlexible hours
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!
- chief compliance officer New York, NY
- transportation broker New York, NY
- work from home freight broker New York, NY
- business broker New York, NY
- managing broker New York, NY
- freight broker agent New York, NY
- commercial broker New York, NY
- medicare broker sales manager New York, NY
- logistics broker New York, NY
- food broker New York, NY

