• Senior Compliance Officer…

    Marex (New York, NY)
    …www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines. + Complete or assist in… more
    Marex (08/07/25)
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  • Chief Supervision Officer - Individual…

    Principal Financial Group (Des Moines, IA)
    …of the firm's registered home office supervision program for both broker - dealer and RIA channels. + **Drive Compliance Excellence** : Oversee surveillance ... experience in the financial services industry, with extensive senior-level expertise in broker - dealer and investment advisor compliance , risk management,… more
    Principal Financial Group (07/26/25)
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  • Associate, Broker - Dealer Private…

    SMBC (New York, NY)
    …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... Compliance Officer as either a member or observer of various...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
    SMBC (07/15/25)
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  • Business Risk Partner, Investment Banking…

    M&T Bank (Baltimore, MD)
    …of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/ Participations. **Primary… more
    M&T Bank (06/13/25)
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  • Deputy Chief Compliance and Risk…

    HUB International (New York, NY)
    …advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, ... one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee...reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with… more
    HUB International (08/21/25)
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  • Senior Compliance Officer - Fixed…

    Marex (New York, NY)
    …in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US ... information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will...Broker Dealer related regulatory inquiries. + Complete… more
    Marex (08/07/25)
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  • Senior Compliance Director, Head…

    Vanguard (Malvern, PA)
    … program for Vanguard's broker - dealer business. Working for the Chief Compliance Officer , this compliance leader, directly and through a team, will ... its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities… more
    Vanguard (06/11/25)
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  • Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... expand the team through the addition of a senior Compliance Officer . In this role, this individual...and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… more
    Arena Investors LP (08/12/25)
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  • Senior Lead Compliance Officer…

    Wells Fargo (Charlotte, NC)
    …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance . **In this role, you will:** ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products...in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with… more
    Wells Fargo (08/19/25)
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  • Lead Compliance Officer - Corporate…

    Wells Fargo (Charlotte, NC)
    **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing...Dealers, and associated regulators (eg, investment banking, financial markets, Broker - Dealer , Swap Dealer , Futures Commission… more
    Wells Fargo (08/15/25)
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