• Clear Street (New York, NY)
    …teams. Responsibilities: Prepare daily 15c3-1 net capital computation for two US broker -dealers (BD) and a securities-based swap dealer (SBSD). Weekly and ... the essentials to compete in today's fast-paced markets. The Role: The Director , Regulatory Reporting will be responsible for overseeing the end-to-end regulatory… more
    Upward (07/01/25)
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  • Associate Director of Compliance…

    Robert Half Finance & Accounting (New York, NY)
    Description Robert Half Financial Services are currently recruiting for an Associate Director of Compliance role for a $100+bn AUM Global Investment firm based ... New York. Our client requires 8+ years Investment and Broker Dealer Compliance experience within a Registered...or 14 Licenses are advantageous. + Bachelor Degree. The Associate Director of Compliance role requires 3… more
    Robert Half Finance & Accounting (07/15/25)
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  • Associate General Counsel, Executive…

    Wells Fargo (New York, NY)
    …and initiatives; and banking for private wealth clients + Advise on bank and broker dealer regulatory requirements applicable to banking and lending activities + ... **About this role:** Wells Fargo is seeking an Associate General Counsel, Executive Director in...Experience as a practicing attorney with securities-based bank and broker dealer lending products; custom and mortgage… more
    Wells Fargo (07/19/25)
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