Broker-Dealer Compliance Officer
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-10
Listing for:
JCW Group
Full Time
position Listed on 2026-03-10
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking Operations
Job Description & How to Apply Below
A leading broker-dealer in NYC is looking to hire a Compliance Officer. An ideal candidate will have prior broker-dealer compliance experience and will be FINRA licensed and CAMS licensed.
Day to day you will:
- Develop and update compliance policies and WSPs.
- Manage AML monitoring and reporting.
- Complete various other compliance tasks.
You should apply if you:
- Have 3+ years of broker-dealer compliance experience.
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×