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Chief Compliance Officer - FINRA Broker-Dealer Leader
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-01
Listing for:
Social Capital Resources
Full Time
position Listed on 2026-03-01
Job specializations:
-
Law/Legal
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
A rapidly growing Financial Services firm in New York City is seeking a Chief Compliance Officer to manage a compliance program for a U.S. FINRA-registered broker-dealer. The role involves establishing and enhancing compliance frameworks, advising senior management on regulatory developments, and leading regulatory examinations. Candidates should have over 10 years of compliance experience in a broker-dealer environment and management experience.
This is a full-time position offering a dynamic work environment.
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