Senior Branch Manager – Compliance & Trading Oversight
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-05
Listing for:
Alexander Chapman
Full Time
position Listed on 2026-03-05
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Wealth Management -
Management
Regulatory Compliance Specialist, Risk Manager/Analyst, Wealth Management
Job Description & How to Apply Below
A reputable financial services firm in New York is seeking an experienced Branch Manager to oversee compliance and trading activities. This role requires strong expertise in regulatory leadership and hands-on trading oversight. Responsibilities include supervising compliance adherence, monitoring registered representatives, and managing customer inquiries. The ideal candidate has over 5 years of experience in broker-dealer environments and holds necessary industry licenses.
Competitive compensation package offered.
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Position Requirements
10+ Years
work experience
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