Broker Dealer Compliance Officer in united states (1000+)

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United States

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1 month ago
Broker Dealer Compliance Officer
BTG Pactual
/
Asset Management · Banking · Public
Miami
Full-time
Onsite
Mid Level
3+ years exp
Less than 25 applicants


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Comp. & Benefits

3 days ago
Broker Dealer Compliance Officer
Fortune 500
/
Staffing & Recruiting · Early Stage
NYC Metro Area
Contract
Onsite
Entry, Mid, Senior Level
54 applicants


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2 weeks ago
Broker Dealer Regulatory Governance Advisory Compliance Officer
SMBC Group
/
Advice · Banking · Late Stage
New York, NY
Full-time
$139K/yr - $200K/yr
Hybrid
Mid, Senior Level
59 applicants


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H1B Sponsor Likely

2 weeks ago
Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor
Mercury
/
Banking · Financial Services · Late Stage
New York, NY
Full-time
$270K/yr - $303K/yr
Onsite
Director/Executive
10+ years exp
31 applicants


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H1B Sponsor Likely

4 days ago
Marketing Compliance Broker/Dealer Officer
TCW
/
Asset Management · Finance · Late Stage
Los Angeles, CA
Full-time
$115K/yr - $150K/yr
Hybrid
Senior Level
6+ years exp
49 applicants


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H1B Sponsor Likely

1 week ago
Compliance Officer - Broker Dealer
Phaxis
/
Delivery · Human Resources · Growth Stage
New York, NY
Contract
$60/hr - $70/hr
Onsite
Senior Level
5+ years exp
Less than 25 applicants


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1 day agoBe an early applicant
Compliance Officer-Broker Dealer Advisory
Atlas Search
/
Finance · Recruiting · Growth Stage
NYC Metro Area
Full-time
$150K/yr - $200K/yr
Hybrid
Mid Level
Less than 25 applicants


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Growth Opportunities

2 days agoBe an early applicant
Broker Dealer Compliance Officer
Mission Staffing
/
Finance · Recruiting · Growth Stage
NYC Metro Area
Contract
$60/hr - $65/hr
Onsite
Senior Level
5+ years exp
Less than 25 applicants


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6 days ago
VP Compliance Officer - Broker Dealer
JCW Group
/
Human Resources · Recruiting · Growth Stage
New York, United States
Full-time
Onsite
Senior Level, Lead/Staff, Director/Executive
7+ years exp
69 applicants


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Growth Opportunities

1 month ago
Compliance Officer - Brokerage - Securities Admin
WesBanco
/
Banking · Finance · Public
Sissonville, WV
Full-time
Hybrid
Mid Level
3+ years exp
Less than 25 applicants


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Growth Opportunities

2 weeks ago
Security Based Swap Dealer Senior Compliance Officer
StoneX Group Inc.
/
Finance · Financial Services · Public
Atlanta, GA
Full-time
$150K/yr - $190K/yr
Onsite
Senior Level
7+ years exp
Less than 25 applicants


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No H1B

2 weeks ago
Vice President - Senior Swap Dealer Compliance Officer
BNP Paribas
/
Banking · Consumer Lending · Public
Jersey City, NJ
Full-time
$115K/yr - $200K/yr
Onsite
Mid, Senior Level
5+ years exp
44 applicants


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1 month ago
Compliance Officer - Brokerage - Securities Admin
WesBanco
/
Banking · Finance · Public
Parkersburg, WV, 26102-0400, United States
Full-time
Onsite
Mid Level
91 applicants


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Growth Opportunities

2 weeks ago
Security Based Swap Dealer Senior Compliance Officer
StoneX Group Inc.
/
Finance · Financial Services · Public
Miami, FL
Full-time
$150K/yr - $190K/yr
Onsite
Senior Level
7+ years exp
Less than 25 applicants


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No H1B

1 month ago
Compliance Officer - Brokerage - Securities Admin
WesBanco
/
Banking · Finance · Public
Bowie, MD
Full-time
$70K/yr - $73K/yr
Hybrid
Mid Level
3+ years exp
Less than 25 applicants


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Growth Opportunities

4 minutes agoBe an early applicant
Compliance Officer
Blueprint Investment Partners
/
Finance · Financial Services · Early Stage
Dallas, TX
Full-time
Onsite
Senior Level
5+ years exp
Less than 25 applicants


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33 minutes agoBe an early applicant
Compliance Officer - Mortgages
UBS
/
Asset Management · Banking · Public
North Carolina, United States
Full-time
$176K/yr - $229K/yr
Onsite
Senior Level, Lead/Staff
10+ years exp
Less than 25 applicants


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H1B Sponsor Likely

5 hours agoBe an early applicant
Compliance Officer
Diversify Advisor Network
/
Finance · Insurance · Growth Stage
United States
Full-time
Remote
Lead/Staff, Director/Executive
5+ years exp
Less than 25 applicants


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3 hours ago
High Response Rate
Be an early applicant
EH&S Compliance Officer IV
Calgon Carbon Corporation
/
Commercial · Industrial · Public
Moon, Pennsylvania
Full-time
Hybrid
Senior Level, Lead/Staff
8+ years exp
Less than 25 applicants


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Comp. & Benefits

9 hours ago
Compliance Officer - Bluffton (ON-SITE)
South Atlantic Bank
/
Accounting · Banking · Growth Stage
Bluffton - Bluffton, SC 29910
Full-time
Onsite
Senior Level, Lead/Staff
10+ years exp
57 applicants


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