Senior Compliance Officer - Broker-Dealer Operations Location: New York, NY (Onsite 5 days/week) Function...: U.S. Broker-Dealer Compliance Coverage Areas: Operations, Treasury, Finance Level: Senior Individual Contributor Overview...
. What you must bring to this role: Must have a minimum of 8 years of senior-level compliance experience within a broker-dealer environment.... What you will achieve in this role: Oversee all aspects of regulatory compliance for the firm's U.S. broker-dealer, ensuring alignment...