Broker Dealer Compliance Officer
Listed on 2026-03-11
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Finance & Banking
Financial Services, Regulatory Compliance Specialist
Title: Broker Dealer Compliance Officer
Classification: Exempt - Full - Time
Location: New Yor, NY, Charleston, SC or Thousand Oaks, CA
Job Description: Jones Trading Institutional Services LLC, an institutional broker-dealer, is seeking a Compliance specialist that will be responsible for broad-based compliance coverage supporting nearly all aspects of the firm's businesses. The role will support our institutinal trading and sales, equity research, investment banking, electronic trading, and prime services divisions. Additional reponsibilities may include providing compliance support to the Company's Canadian based subsidary.
This is an outstanding opportunity to join a great company within a highly experienced department. This is a highly visible role with a great opportunity to grow in your career.
Please reach out to Susan Sheldon for full job description.
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