CHIEF COMPLIANCE OFFICER BROKERAGE jobs in NEW YORK CITY NY, United Kingdom

About the team + role The Chief Compliance Officer, Brokerage, will champion a culture of compliance... and Robinhood Securities's operations and customer service teams and help ensure compliance with brokerage policies and procedures...

Robinhood

Job Description: Job Title: Chief Compliance Officer Swap Execution Facility Location: 55 Water Street, or Iselin...., and/or its affiliates. Responsibilities: Serve as Chief Compliance Officer (CCO) advising on day-to-day issues for all Swaps executed...

BGC

Officer - Sr. Director The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer (“BD CCO”) for three...NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance...

Capital One

JOB TITLE: Hedge Fund/Family Office Consultant - Chief Operating Officer (COO) Join our experienced roster... counsel and fund services like prime brokerage, fund accounting, and administration, managing internal legal and compliance...

Arootah

leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate... confidential information appropriately Reporting Relationships Chief Compliance Officer Compensation The anticipated base...

Ares Wealth Management Solutions

a dynamic Head of Retail Compliance who will report directly to our Chief Compliance Officer. This is a great opportunity... with 7 plus years as a retail compliance officer in brokerage, banking or trust services Previous experience at a Crypto...

BitGo

is looking to hire a Director of Compliance Monitoring & Testing. Reporting directly into our Chief Compliance Officer..., Compliance Officer/Manager, etc.) Ability to interact/communicate effectively with all levels of management, regulators...

BitGo

used to identify potential risk issues. Assist CNS Branch Manager and/or CNS Chief Compliance Officer with projects... or equivalent Ten plus years of experience in brokerage fixed income trade desk operation. Minimum of 10 years fixed-income...

City National Bank

and Chief Operating Officer and other internal partners to develop and implement solutions/compliance with various regulatory... Bank’s Ultra-High Net Worth Banking and Brokerage client relationships. This role requires a Vice President...

Deutsche Bank

Job Description: The Regional Commercial Head of SBS for APAC/EMEA/LATAM/US is reporting to the Chief Commercial... Officer of SBS and is a member of the SBS global Commercial team. The APAC/EMEA/LATAM/US Commercial Head overseas the...

SCOR