Senior VP, Broker-Dealer Compliance & Strategy
Partnership Employment
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, and governance for product reviews and risk assessments, escalating matters as needed and guiding improvements across the program. Strong collaboration with business teams and a deep understanding of regulatory developments #J-18808-Ljbffr Partnership Employment
Vacancy posted 5 days ago
Similar jobs that could be interesting for youBased on the Senior VP, Broker-Dealer Compliance & Strategy in New York, NY vacancy
$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker-Dealer &... ...don't promise shortcuts or magic strategies. We respect the realities of investing... ...projects. Contribute to the compliance program — account-opening escalations...SeniorPermanent employmentRemote workFlexible hours- Dynamics Executive Search is seeking a senior Compliance professional for a brokerage advisory role focused on equities and options. The candidate will serve as a trusted compliance partner, advising on regulatory questions, evaluating risks, and maintaining supervisory...Senior
- ...Communications team seeks a Sr. Manager to lead the communications strategy for the agent and broker businesses. You’ll own the narrative, set priorities, and... ...and events without hands-on drafting. This remote, senior role partners with directors and VPs, guiding channel...SeniorRemote work
$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$142.32k - $213.48k
Overview Business Senior Manager - Operations & Strategy (Chief of Staff) VP at Citi. The Business Sr. Manager accomplishes results through the management of professional... ...timely submission for deliverables related to BU Compliance/Risk and Control and/or Management Information...SeniorFull timeTemporary workWork at officeLocal area- ...The USCC COO Business Execution team at Citi is seeking a senior-level Business Unit Manager to drive end-to-end projects, deliver results... ...leading strategic initiatives, vendor management, and ensuring compliance and risk controls while safeguarding Citi and its clients. #J...Senior
- Daniel J. Edelman Holdings seeks a Senior Vice President of Health Digital to lead digital work for major pharmaceutical clients. You will oversee omnichannel campaigns, ensure regulatory compliance, and drive integrated programs across .com, CRM, paid media, and social...Senior
$199.5k - $275k
...Broker-Dealer & Cash Equities Attorney - Assistant General Counsel - Vice President job at JPMorgan Chase Bank, N.A.. New York, NY. The... ...trading businesses. You will work closely with the business, compliance, other internal control functions, internal and external legal...Comunidade Metodista
New York, NY2 days ago$213.31k - $355.45k
...Financial is a leading independent broker‑dealer supporting over 32,000 financial... .... Position Overview Senior Vice President, Associate General... ...leadership to shape legal and regulatory strategy for the broker‑dealer, advisory, compliance, supervision, risk, business...LPL Financial LLC
New York, NY1 day ago- ...the world. TPG invests across a broadly diversified set of strategies, including private equity, impact, credit, Real estate,... ...has an exciting opportunity for an Associate to join its broker-dealer Compliance team in the New York office. Responsibilities include conducting...Full timeWork at officeLocal area
TPG
New York, NY1 day ago $200k - $285k
...trading and investment group. They seek a Senior Director to join their Manhattan, NY... ...approvalsArchitect and implement a forward-looking tax strategy that supports both immediate objectives... ...implicationsGovern tax strategy and compliance for the U.S. consolidated group,...SeniorWork at officeImmediate startRemote workAbacus Group
New York, NY6 days ago- ...Comscore is seeking a Senior Vice President of Product Management, Activation, to steer the Activation product portfolio across audience... .... Based in New York, NY or Reston, VA, you will translate strategy into prioritized roadmaps, collaborate with engineering, data...Senior
- ...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
Dynamics Executive Search
New York, NY5 days ago - ...Senior Treasury / Liquidity Management – Broker-Dealer New York City | Financial Services I'm working with a highly regarded, growing investment bank and broker-dealer that is looking to add a senior Treasury / Liquidity Management professional to its platform....SeniorTemporary work
Madison-Davis, LLC
New York, NY1 day ago - DEY. is seeking a senior leader to drive earned media across a diverse client portfolio, turning strategy into coverage and guiding principals for interviews. You will mentor the team, shape media thinking, and collaborate with DEY.'s leadership on complex moments. You...Senior
- BMO Financial Group in New York seeks a senior corporate lending professional to originate, underwrite, structure, and negotiate complex... ...dividend recapitalizations, refinancings and related financing strategies for sponsor-backed and non Sponsor clients. This role requires...Senior
- 5WPR is seeking a Senior Vice President, Influencer & Creator Strategy to lead and scale the influencer practice for global brands. You will guide strategic direction, drive new business, and build high-performing teams that deliver measurable business impact across awareness...Senior
- Everest Group seeks a senior credit risk leader in New York with 15+ years of experience across credit risk, enterprise risk management... ...investments, or related disciplines. You will help shape risk strategy, communicate with boards and regulators, and drive robust risk...Senior
- ...roadmap, and measurable outcomes for origination, guiding product strategy and cross-functional collaboration across sales, clients, and... ...foster cross-team alignment, and drive growth while ensuring compliance and risk controls are embedded in the platform. #J-18808-...SeniorRemote job
- Moon Rabbit is seeking an SVP, Media Strategy & Planning to provide senior media leadership across a portfolio of pharmaceutical brands and help shape the continued growth of the Media practice. The role requires investment and activation expertise across channels including...Senior
- Kada Recruiting partners with a dynamic agency in Manhattan seeking a Senior Vice President to lead the Digital Team. You’ll drive strategy, oversee social, influencer, and paid campaigns, and grow a high-performing team in a fast-paced, creative environment. The role requires...SeniorWork at officeRemote work
- ...in New York City. THE ROLE The VP of Fixed Price Strategy & Business Operations for Global Luxury... ..., marketing, finance, legal, compliance, technology, and operations teams to... ...experience serving as a trusted advisor to senior leadership, presenting business performance...Local area
Cultural Signal
New York, NY2 days ago $100k - $110k
...motivated, detail oriented individual to work at a growing U.S. broker-dealer subsidiary of a global financial services group based out of... ...records Assist with monthly finance presentation material to Senior Management and quarterly presentation to the Board of...SeniorExtra incomeWork at officeBBVA
New York, NY3 days ago$169.9k - $250k
...Senior Vice President, Broker, Construction Casualty Our Construction & Infrastructure Practice is looking for a Senior Casualty Broker. This... ...Professional who develops and manages client relationships, account strategies and insurance marketing activities. Act as a trusted...SeniorTemporary workWork at officeLocal area3 days per weekAon
New York, NY1 day ago$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description The Compliance Risk Manager will support Capital One's broker dealers compliance program. Compliance Risk Managers are highly motivated Risk Management professionals with excellent communication skills, strong judgment...Full timePart timeWork at officeLocal areaFlexible hoursCapital One Financial Corp
New York, NY5 days ago- ...Join the NA Broker Dealers and Market Structure Payments Sales team!... ...JPM Payments sales & client strategy to achieve new business sales... ...Collaborate with client service, compliance, operations, technology,... ...optimally. Engage clients at senior and strategic levels to...Overseas
Testing Site - JPMC
New York, NY1 day ago - ...JPMorgan Chase Bank, N.A. in New York, NY is seeking a Broker-Dealer & Cash Equities Attorney to join the Equity Practice Group in the Legal department. The role provides regulatory advice to cash equities research, sales and trading teams and interfaces with regulators...
- ...leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry... ...filings, and compliance assurance activities. Act as a senior resource for escalated regulatory, supervisory, and conduct-related...Full time
Partnership Employment
New York, NY5 days ago - ...leading recruitment agency is seeking a Senior Director Executive Compensation in New York. This role will shape executive pay strategies and govern equity programs for a newly formed... ...skills in compensation analysis and compliance. This full-time position comes with...SeniorFull time
$175k - $230k
Agency:Omnicom MediaJob Function:Strategy and PlanningJob Subfunction: StrategyJob Description:Director, Strategy - VP Pharma $175,000 - $230,000Omnicom’s policy requires employees to work in the office for a minimum of three days a week, unless additional in-office days...Full timeWork at officeLocal area3 days per weekMomentum Worldwide
New York, NY2 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior VP, Broker-Dealer Compliance & Strategy. Be the first to apply!
Related searches
- senior associate vice president New York, NY
- vp hr New York, NY
- vp relationship manager New York, NY
- vp of product (remote) New York, NY
- vice president of quality New York, NY
- vice president facilities New York, NY
- investment banking vice president New York, NY
- vice president education New York, NY
- vice president of environmental health and safety New York, NY
- vice president manufacturing New York, NY