Broker-Dealer jobs in New York, NY

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COMMERCIAL BROKER DEALER CHIEF COMPLIANCE OFFICER - SR. DIRECTOR

Promoting a culture of compliance and managed risk taking. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering,...

CompanyCapital One
AddressNew York, NY
CategoryAccounting/Finance
Date Posted 3 days ago See detail

Commercial Broker Dealer Chief Compliance Officer - Sr. Director

Capital One

New York, NY

Promoting a culture of compliance and managed risk taking. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering,...

Finance and Operations Associate (Broker Dealer)

Acg Resources

New York, NY

The position is highly visible, offers career growth and the opportunity to work alongside the principals and management of the Broker Dealer.The ideal candidate will have at least 2 years experience in middle office or back offi...