Broker Dealer Compliance Jobs

Mission Driven

Growth & Learning

Open Door Policy

Rapid Growth

Customer-Centric

Dare to be Different

Diversity of Opinions

Passion for Exploration

Maternity Leave

Paternity Leave

Medical Insurance

Dental Insurance

Vision Insurance

Mental Health Resources

Life insurance

Disability Insurance

Health Savings Account (HSA)

Flexible Spending Account (FSA)

Equity

401K Matching

Lead Gemini’s broker-dealer compliance program in New York, driving supervisory, surveillance, AML, and regulatory exam readiness across trading and product operations.

Associated Bank is hiring an AIS Product and Compliance Specialist to lead principal suitability reviews, maintain product and procedural controls, and manage signature guarantee and annuity rate processes for the broker/dealer.

Sia is hiring a Financial Services Senior Consultant with NFA examination experience to lead regulatory compliance and transformation workstreams for major financial services clients.

Inclusive & Diverse

Rise from Within

Mission Driven

Diversity of Opinions

Work/Life Harmony

Dare to be Different

Reward & Recognition

Fast-Paced

Maternity Leave

Paternity Leave

Medical Insurance

Dental Insurance

Vision Insurance

Mental Health Resources

Life insurance

Disability Insurance

Health Savings Account (HSA)

Flexible Spending Account (FSA)

401K Matching

Paid Holidays

Paid Sick Days

Paid Time-Off

Learning & Development

Social Gatherings

Robinhood is hiring a Technology Risk Senior Manager to lead cyber and engineering risk governance and advisory work from its Menlo Park or New York offices.

Lead COMPLY’s Regulatory Services organization as SVP, directing consulting teams, shaping service strategy, and growing client engagements for a market-leading RegTech SaaS provider.