FinTech Compliance Manager — Reg D, ATS & FINRA
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-05
Listing for:
Percent
Full Time
position Listed on 2026-03-05
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services, FinTech, Financial Compliance
Job Description & How to Apply Below
A financial services firm in New York is looking for a Compliance Manager to oversee its compliance program related to Broker Dealer operations. The successful candidate will have at least 5 years of relevant experience, specifically in a broker dealer environment, and be proficient in FINRA rules, private placements, and regulatory compliance.
This role offers a competitive salary and benefits including a hybrid work environment in NYC. Join a growing Fin Tech firm where you can make a significant impact.
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