Broker-Dealer Compliance Generalist

JCW is partnered with a established investment bank as they're looking to hire a Broker-Dealer Compliance Officer. This position reports directly into the CCO and will assist with all aspects of the compliance program. An ideal candidate will have prior equities compliance advisory or trade surveillance experience.Day to day you will:Provide compliance advisory to investment banking and equity sales/trading desk.Conduct trade surveillance and perform supervisory reviews.Assist with regulatory exams and inquiries.Assist with regulatory filings and registrations.You should apply if you:Have 3+ years broker-dealer compliance experience.Are willing to work in the new york office.

Created: 2025-05-23