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FinTech BD Compliance Manager - Reg D
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-09
Listing for:
Percent
Full Time
position Listed on 2026-02-09
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
A Fin Tech company in New York is seeking a Compliance Manager to enhance its Broker Dealer compliance program. This role involves ensuring adherence to SEC and FINRA requirements, drafting compliance policies, and conducting regulatory filings. Ideal candidates will have at least 5 years of broker dealer experience, knowledge of FINRA rules, and excellent communication skills. A unique opportunity to join a high-growth firm at an important stage of development that values integrity and compliance excellence.
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