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

T3RmU3dKZUtmQ0hDQktkbndGcmZXa2hUVGc9PQ==
  • 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

Ahern Painting Contractors Inc.

Coating Inspector Job at Ahern Painting Contractors Inc.

Ahern Painting Contractors is seeking Quality Control Inspectors. As a QC Inspector, you will be responsible for inspecting and evaluating coating and surface preparation activities for various industrial projects. This position requires an understanding of coating inspection...

TruGreen

Data Analyst Job at TruGreen

 ...Job Summary: We are seeking a detail-oriented and analytical Data Analyst to join our team. The ideal candidate will collect, process, and perform statistical analyses on large datasets to help inform strategic business decisions. You will work closely with cross-functional... 

Healthcare Startups

MLOps Engineer - AI & Data Team Job at Healthcare Startups

&##128640; MLOps & Cloud Ops Engineer AI & Data Team | NYC | Hybrid | High Impact Work Were working with a mission-driven investment firm at the forefront of healthcare innovation. Their AI & Data Team is seeking a MLOps & Cloud Ops Engineer to help scale impactful... 

TruCapital Partners

Property Manager Job at TruCapital Partners

 ...About the Role: As a Property Manager, you will oversee the day-to-day operations and financial performance of a commercial property portfolio. This role is responsible for delivering exceptional tenant experiences, driving operational efficiency, and ensuring vendor... 

Infinite Services Inc

Home Health Aide (HHA) Director Job at Infinite Services Inc

 ...JOB TITLE: Home Health Aide (HHA) Director REPORTS TO: Chief Executive Officer (CEO) POSITION SUMMARY The Home Health Aide Director will serves as a key leader in our company and is responsible for managing and overseeing the daily operations of the home health...