Compliance Officer/Chief Compliance Officer Job at Clark Davis Associates, New York, NY

MWRTb3oyTEliMEZCeWlvd1FabjVaSUZyK1E9PQ==
  • Clark Davis Associates
  • New York, NY

Job Description

Broker/Dealer based in mid-town NYC. Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations. 7+ years applicable experience is needed. Series 7 required, Series 24 preferred. Knowledge of TRILIUM and SMARTS software a plus.

Job Tags

Similar Jobs

Children's National Hospital

Art Therapist - Part Time Job at Children's National Hospital

This is a part time position working 24 hours a week.The Art Therapist will develop, implement, and evaluate an art therapy program for children and adolescents in clinic-based and medical inpatient settings. Foster positive and professional interpersonal relationships... 

Sonder Consultants

Debt Finance Associate Job at Sonder Consultants

 ...A rare opportunity for a Debt Finance associates to transition into a Magic Circle firm based in New York offering not only a better...  ...this forms continues to push for market share. The Head of Banking & Finance would like us identify a strong mid-to-senior associate... 

Randolph-Brooks Federal Credit Union (RBFCU)

Internal Auditor III Job at Randolph-Brooks Federal Credit Union (RBFCU)

Job Description and RequirementsThe Internal Auditor III will lead, perform, and provide guidance in performing operational, financial, and compliance engagements using a risk-based, consultative approach designed to add value and improve the Credit Union's operations... 

British American Household Staffing

AS616 - Educated ROTA Nanny - Upper East Side Job at British American Household Staffing

 ...family of four on the Upper East Side is seeking an educated ROTA nanny for their daughters, ages 4 and 2. The schedule is a 7 day on/7...  ...shift. Some flexibility is needed for longer rotations during travel, with approximately one month notice of any changes. The family... 

Olico Group

Data Entry Assistant (Remote) Job at Olico Group

 ...Olico is looking for a remote Data Entry Assistant based in Dallas. This is a part-time role with flexible hours. Pay rate: $24 per hour. Help us keep our records accurate and up to date by handling essential data tasks from home. Duties Enter data into online...