More jobs:
Compliance Officer, Finance & Banking
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-08-06
Listing for:
Neutral Street
Full Time
position Listed on 2026-08-06
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Ensure the firm's trading activities comply with all relevant regulations across multiple global jurisdictions.
Responsibilities- Monitor trading activity for potential market abuse or regulatory breaches
- Advise traders and engineers on regulatory constraints during strategy development
- Draft and update internal compliance policies and procedures
- Liaise with regulators (SEC, CFTC, FINRA) during audits and inquiries
- 5+ years of compliance experience at a broker-dealer or proprietary trading firm
- Deep knowledge of SEC and FINRA rules
- Strong analytical skills and attention to detail
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×