Senior Broker-Dealer Regulatory Governance Lead
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-20
Listing for:
Phaxis
Full Time
position Listed on 2026-01-20
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
A leading financial firm in New York seeks a compliance manager to enhance the regulatory governance framework for its broker-dealer operations.
Your role includes managing compliance obligations, coordinating with various departments on regulatory requests, and overseeing documentation. Ideal candidates should have 5-8 years of broker-dealer compliance experience, strong communication skills, and proficiency with tools like Audit Board and JIRA. Relevant regulatory certifications are preferred but not required.
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Position Requirements
10+ Years
work experience
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