Broker-Dealer Compliance Testing
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-10-06
Listing for:
JCW Group
Full Time
position Listed on 2026-10-06
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking Operations, Financial Services, Financial Crime
Job Description & How to Apply Below
A leading investment bank/broker-dealer is looking to hire a Compliance Testing professional. Reporting to an MD on their compliance team, this individual will assist in the development and execution of the firm's compliance testing program.
Day-to-day you will:
- Assist with compliance testing responsibilities.
- Complete compliance risk assessments.
- Assess and improve internal controls.
- Assist with surveillance enhancements.
- Have 2+ years of broker-dealer compliance experience
- Have experience with supervisory control testing.
Consider building your career as a Broker-Dealer Compliance Testing at JCW Group.
Our team is growing, and we are hiring a Broker-Dealer Compliance Testing in New York, NY, United States.
This opening is for the Broker-Dealer Compliance Testing role at JCW Group.
We are seeking a motivated Broker-Dealer Compliance Testing to join JCW Group in New York, NY, United States.
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