More jobs:
Onsite NY Broker-Dealer Compliance Lead Trading & Markets
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-08-24
Listing for:
Pinnacle Career Coaching
Full Time
position Listed on 2026-08-24
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Location: New York
Pinnacle Career Coaching seeks an experienced Compliance Officer for a broker-dealer. The role is on-site in New York, five days a week, with a competitive salary and bonus package including daily lunch and unlimited PTO.
Responsibilities include developing compliance policies, overseeing reporting (CAT, CAIS, Rule 606) and supervising surveillance, audits and onboarding. Strong regulatory knowledge and hands-on execution are essential.
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