Junior BD Compliance Officer — CAT & Trade Surveillance
Job in
Thousand Oaks, Ventura County, California, 91362, USA
Listed on 2026-08-07
Listing for:
Crossroads Staffing
Full Time
position Listed on 2026-08-07
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
Crossroads Staffing is seeking a Junior Broker-Dealer Compliance Officer in Thousand Oaks, CA to join our growing compliance team, and work closely with trading and sales.
The role covers broad-based compliance across institutional trading, equity research, investment banking, electronic trading and prime services, with a strong emphasis on trade monitoring, surveillance, CAT and CAIS reporting, as well as regulator communications (FINRA/SEC) and internal policy updates.
#J-18808-LjbffrTo 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:
×