Broker-Dealer Compliance Generalist Job at JCW, New York, NY

bExrV1l1MTNCMDhxTmM4NDBheE9RWE9sRHc9PQ==
  • JCW
  • New York, NY

Job Description

JCW is partnered with a established investment bank as they're looking to hire a Broker-Dealer Compliance Officer. This position reports directly into the CCO and will assist with all aspects of the compliance program. An ideal candidate will have prior equities compliance advisory or trade surveillance experience.

Day to day you will:

  • Provide compliance advisory to investment banking and equity sales/trading desk.
  • Conduct trade surveillance and perform supervisory reviews.
  • Assist with regulatory exams and inquiries.
  • Assist with regulatory filings and registrations.

You should apply if you:

  • Have 3+ years broker-dealer compliance experience.
  • Are willing to work in the new york office.

Job Tags

Similar Jobs

Insight Global

Electrical Technician Job at Insight Global

Join our team as a Panel Technician in Phoenix, AZ! The panel technician will be responsible for performing all aspects of layout, assembly and wiring of industrial control panels. Must Haves: High School Diploma Ability to read measurement devices down to...

UN/COMMON

Website Translator (English to Arabic) Job at UN/COMMON

 ...Gomezs Rare Beauty, Dermalogica, Liquid Death, Lemon Perfect, and more. Summary We are seeking a skilled Freelance Arabic Translator to help translate our companys website from English into Modern Standard Arabic . The ideal candidate will ensure accurate,... 

firstPRO, Inc

Financial Planning and Analysis Specialist Job at firstPRO, Inc

 ...Corporate FP&A Leader Radnor, PA (3 days onsite/MUST BE LOCAL) - $110K + 22% Bonus Global billion-dollar business seeking experienced FP&A professional to support financial modeling, strategic initiatives, reporting and budget planning. Work closely with senior leadership... 

Hydrogen Group

Regulatory Affairs Specialist Job at Hydrogen Group

Regulatory Affairs Specialist Irvine, CA Schedule: Standard Office Hours, Hybrid PST Duration: 6-Month Contract Pay: $44-49.50/ph The Regulatory Affairs Specialist will support regulatory strategies and registration activities for China and...

Ultimate Staffing

Mechanic Technician Job at Ultimate Staffing

 ...Our client is seeking an experienced Mechanic/ Hydraulic Technician to join their team in Amherst, NH. The ideal candidate will have expertise in mechanical, hydraulic, and electrical systems and a strong commitment to quality work. Location: Amherst, NH Schedule...