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Senior Compliance Director — Regulatory Strategy & Oversight
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-08-27
Listing for:
Socket.dev
Full Time
position Listed on 2026-08-27
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Chardan seeks a Director, Senior Compliance Officer to oversee broker‑dealer and investment adviser compliance programs. You will guide across Investment Banking, Capital Markets, Research, and Sales & Trading to ensure legal and ethical operations while aligning with business goals.
You will lead written procedures, regulatory guidance, and governance for crypto/AI related activities, training staff and supporting regulatory examinations.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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