broker dealer regulatory governance specialist Jobs - 8980
CCO of Broker-Dealer
GCM Grosvenor - New York,NY
Employment Type : Full-Time
**CCO of Broker-Dealer** at GCM Grosvenor New York, New York, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers...
Capital Markets Broker Dealer Regulatory Reporting Analyst
BNY Mellon - New York,NY
Employment Type : Full-Time
Overview Capital Markets Broker Dealer Regulatory Reporting Analyst Bring your ideas. Make history. BNY Mellon offers an exciting array of future-forward careers at the intersection of business,...
Senior Regulatory Program Manager (Broker-Dealer Implementation) - NY, Midtown - Up to $1100 per day C2C
Mondrian Alpha Recruitment Solutions - New York,NY
Employment Type : Full-Time
Interested candidates are encouraged to apply promptly, providing detailed resumes and availability for immediate consideration. This is an urgent requirement, with an immediate start preferred. Experience Required: A seasoned professional with...
Compliance Officer-Swap Dealer/Security-Based Swap Dealer
Groupe Bpce - New York,NY
Employment Type : Full-Time
Poste et missions Natixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC...
Compliance Officer (Advisory & Broker Dealer)
Leumiusa - New York,NY
Employment Type : Full-Time
**Compliance Officer (Advisory & Broker Dealer)** at Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, ensuring alignment with the Firms compliance...