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Senior Compliance Registration Lead Broker-Dealer
Job in
New York City, Richmond County, New York, 10261, USA
Listed on 2025-12-01
Listing for:
Guggenheim Partners
Full Time
position Listed on 2025-12-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A global investment and advisory firm in New York is seeking a Compliance Associate – Vice President to support regulatory filings and compliance processes. The ideal candidate has 3-5 years of experience in financial services, a BA or BS degree, and strong communication and organization skills. This position requires working closely with various teams and ensuring adherence to regulatory requirements.
The annual salary range is $110,000 to $135,000.
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Position Requirements
10+ Years
work experience
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