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Head of Compliance — US Broker-Dealer; FINRA/SEC/CFTC
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-05
Listing for:
QCP
Contract
position Listed on 2026-03-05
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Location: New York
A leading digital asset firm is seeking a Head of Compliance to oversee regulatory compliance and supervisory systems. The successful candidate will be responsible for developing compliance programs, ensuring adherence to SEC, CFTC, and FINRA regulations, and acting as the primary regulatory contact. Candidates should possess extensive experience in compliance within broker-dealers or investment banks. A flexible work environment and a supportive company culture are provided, focused on employee growth and autonomy.
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