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Contact Us

Truly global and proudly local. We've been serving the US for over 30 years, expanding offices across New York, California and Austin.

Get in touch

Sell-side Compliance Jobs

Jobs

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Salary: $145,000 - $150,000 per year

Location: New York

Date Posted: May 10, 2024

An exciting opportunity has arisen for a seasoned compliance consultant with broker-dealer expertise to join a leading regulatory consulting firm. This role offers the chance to establish and maintain the compliance program for a diverse book of broker-dealer clients.
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Salary: $155,000 - $175,000 per year

Location: New York

Date Posted: April 19, 2024

Our client is seeking a dedicated and experienced Compliance Officer to join their dynamic team. The successful candidate will primarily be responsible for the functions of the control room, ensuring that all operations adhere to legal standards and in-house policies. You will have the chance to develop policies, systems and controls for the administration of control room function, while also advising business groups on all information barrier issues.

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