director of broker dealer compliance Jobs - 531


SBM Management - New York,NY

The Account Director plays a key role in leading efforts to achieve organic growth goals. Account Directors will also focus on developing and implementing strategies for the retention of existing business by performing the following duties...

Date : 2025-01-01T06:47:30Z

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Highview National Insurance Company - Spring Valley,NY

Now Hiring!: Director of Risk Management Location: Spring Valley, NY 10977 Compensation: $200,000 - $275,000 annually What's in it for You: Medical,...

Date : 2025-01-05T03:23:07Z

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Goldman Sachs - New York,NY

Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's...

Date : 2025-01-02T08:13:41Z

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New York City, NY - Jamaica,NY

Open to candidates who are permanent in the civil service title of Administrative Manager or comparable civil service titles including but not limited to Administrative Staff Analyst, Health Services Manager, Administrative Investigator,...

Date : 2025-01-02T08:12:52Z

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Oneida Indian Nation - Verona,NY

Starting Salary: $125,000/yr - may be higher based on experience As the Director of People Management Services, you'll effectively lead all Turning Stone Enterprises' people management services provided to Oneida Innovations Group, and its...

Date : 2025-01-01T06:37:13Z

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Citizens Bank - Tarrytown,NY

Description The Compliance Team Lead will have responsibilities within the compliance program for the Citizens Private Wealth segment of Citizens Wealth Management, including its registered investment advisor, broker-dealer and trust...

Date : 2025-01-02T08:13:24Z

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New York City, NY - Jamaica,NY

OPEN TO PERMANENT INCUMBENTS IN THE TTITLE OF ASSOCIATE CONTRACT SPECIALIST MAY APPLY. The Bureau of the Agency Chief Contracting Officer within the Division of Finance is primarily tasked with overseeing, managing, and executing citywide...

Date : 2025-01-02T08:13:12Z

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Hold Brothers Capital, LLC - New York,NY

About the job Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert...

Date : 2025-01-02T14:10:08Z

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Michael Page - New York,NY

We are seeking a highly capable and ambitious Director of Professional Development based in New York City. This individual will be responsible for leading strategic initiatives related to the professional growth and development of the firm's...

Date : 2024-12-31T07:16:57Z

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City National Corporation - New York,NY

DIRECTOR BUSINESS AFFAIRS WHAT IS THE OPPORTUNITY? This position provides overall management of significant City National Rochdale (CNR) projects on a firm-wide scale crossing multiple business units. Projects may cover a broad range of...

Date : 2025-01-01T06:47:49Z

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