Senior Director, Compliance & Regulatory Strategy
Listed on 2026-10-03
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Finance & Banking
Regulatory Compliance Specialist, Capital Markets -
Management
Regulatory Compliance Specialist
Chardan is seeking an experienced Director, Senior Compliance Officer to lead its broker-dealer and investment adviser compliance programs. This role partners with the Chief Compliance Officer to provide regulatory guidance across Investment Banking, Capital Markets, Research, Sales & Trading and other initiatives, ensuring lawful and ethical operations.
The candidate will oversee supervision procedures, training, examinations, and surveillance, while advising senior management on new laws and
The Senior Director, Compliance & Regulatory Strategy role at Chardan Capital Markets LLC is now open for applications in NY, United States.
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This posting is for the Senior Director, Compliance & Regulatory Strategy role at Chardan Capital Markets LLC, based in NY, United States.
We are looking to fill the Senior Director, Compliance & Regulatory Strategy position at Chardan Capital Markets LLC in NY, United States.
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