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

QVB2TVcwN2VZQ1RJQUxGenN4ZUtlTjg3Q3c9PQ==
  • 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

Hoxton Circle

FP&A Analyst - Financial Services Job at Hoxton Circle

Were partnering with a fast-growing financial services company on the search for an FP&A Analyst to join their NYC team. This is a global role supporting both North America and international operations, offering strong mentorship, broad exposure, and the chance to make...

RSU 63 - Clifton, Eddington, Holden

Elementary School Principal Job at RSU 63 - Clifton, Eddington, Holden

Description RSU #63 Elementary Schools Principal Beginning July 1, 2025 RSU #63 (Clifton, Eddington, Holden) is accepting applications for an Elementary Schools Principal position. This person will oversee Eddington Elementary (Grades PreK-1) and Holden Elementary... 

Brunel

Health And Safety Officer Job at Brunel

 ...Brunel is currently searching for a Health & Safety Officer for a long-term contract position with our client located in EL Paso, Texas...  ...analysis. Manages Health and Safety projects. Manages MSHA/OSHA/State Mine Inspector visits, evaluates filed activities,... 

Bridgeview Eye Partners

Scribe - Surgical Services Job at Bridgeview Eye Partners

 ...expect employees to embrace the passion of helping others and bring a personal touch to each patients experience. We are looking for a SCRIBE to join our growing team! LOCATION: Lind EyeCare, Kearney, NE POSITION SUMMARY : The primary goal of the ophthalmic scribe is... 

Creative Cove Inc.

Copywriter Job at Creative Cove Inc.

Our well known retail client is looking for a Copywriter with 1+ years' experience for an immediate long term contract in their Dayton, Ohio office; this role is onsite five days a week and the client is looking for a portfolio with a range of work across print and digital...