Director of Regulatory Compliance & Surveillance
Listed on 2026-10-09
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst
Daiwa Capital Markets America Inc. is seeking a Regulatory Compliance, Reporting, and Surveillance Director to lead critical compliance programs across Institutional Equities, Fixed Income, Treasury and Futures.
You will supervise a team, coordinate with Front Office, Risk Management and Technology, and drive policy and system improvements. The role requires senior regulatory expertise, strong program management, and experience with regulatory reporting, surveillance, examinations, and testing.
The following role is for a Director of Regulatory Compliance & Surveillance with Daiwa Securities Group.
For the Director of Regulatory Compliance & Surveillance position at Daiwa Securities Group, we are reviewing applications now.
Step into the Director of Regulatory Compliance & Surveillance role at Daiwa Securities Group in NY, United States and grow with us.
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