• SMBC (New York, NY)
    …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
    DirectEmployers Association (10/09/25)
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  • Neuberger Berman (New York, NY)
    …to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the implementation of ... and leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory… more
    DirectEmployers Association (09/09/25)
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  • Neuberger Berman (New York, NY)
    …in a related business field + 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, ... is looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure … more
    DirectEmployers Association (09/09/25)
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  • Manager , Broker - Dealer…

    Coinbase (Albany, NY)
    …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
    Coinbase (10/30/25)
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  • Managing Director, US Broker Dealer…

    BMO Financial Group (New York, NY)
    …- dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance programs. Broker - dealer businesses ... The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and… more
    BMO Financial Group (10/15/25)
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  • VP Compliance Manager , Trade…

    TD Bank (New York, NY)
    …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at… more
    TD Bank (10/12/25)
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  • Investment Analytics & Trade Monitoring…

    City National Bank (New York, NY)
    …other regulatory affairs. * Experience with a financial institution such as a broker / dealer and/or registered investment adviser. * Experience working within a ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners...Analytics and Trade Monitoring will establish and develop the Compliance Trade Oversight Program by leading, configuring, and overseeing… more
    City National Bank (09/04/25)
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  • Sr. Compliance Officer - Compliance…

    TD Bank (New York, NY)
    …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
    TD Bank (09/20/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Albany, NY)
    …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
    Guardian Life (09/10/25)
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  • Director, Compliance - Regulatory…

    TD Bank (New York, NY)
    …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more
    TD Bank (09/07/25)
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