AVP Compliance - Broker Dealer
Oliver James Associates
Manhattan, New York City$125,000 - $145,000 est.Full-timePosted 13h ago
Job Opening: Assistant Vice President, Broker Dealer Compliance Our client at a global financial services firm is looking to add a Compliance AVP to support its U.S. broker-dealer compliance function. This is a high-visibility opportunity within a lean team environment offering broad exposure across advisory, licensing & registration, governance, and capital markets compliance. The role will partner closely with senior compliance leadership and business stakeholders across investment banking an…
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