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Broker-Dealer Compliance Advisor
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-12
Listing for:
Madison-Davis
Full Time
position Listed on 2026-01-12
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A leading financial services company in New York is seeking a Compliance Advisory professional. You will lead the development of the Broker Dealer Services framework and support regulatory audits, ensuring compliance with FINRA, SEC, NFA, and CFTC regulations. The ideal candidate should have a strong background in compliance advisory services for broker-dealer business lines. This position offers an opportunity to deliver strategic solutions in a dynamic environment.
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