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Senior Compliance & Trading Controls Lead
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-06
Listing for:
Mission Staffing
Full Time
position Listed on 2026-03-06
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A global investment bank is seeking a Compliance professional with over 5 years of experience in the broker-dealer environment. The role involves executing compliance testing, supporting risk management in Sales & Trading, and ensuring adherence to SEC and FINRA regulations. Applicants should have hands-on compliance experience, strong regulatory knowledge, and the ability to navigate a fast-paced front-office setting. This position is located in New York, NY.
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Position Requirements
10+ Years
work experience
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