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

VEtPVTFnZWFxTlg0WEpPZG1nK0RkY20vWHc9PQ==
  • 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

Aquila | On-Site Health & Fitness Management

Summer 2025 Internship Fitness Specialist Job at Aquila | On-Site Health & Fitness Management

 ...Aquila's Fitness Specialist Intern Summer 2025 will gain first- hand experience by assisting members in safe and effective exercise programs and perform a wide range of duties in a health/fitness center, under the supervision of the site manager. The program provides... 

New Leash on Life Dog Grooming

Animal Groomer Job at New Leash on Life Dog Grooming

 ...New Leash on Life Dog Grooming in Westfield, MA (voted Readers Raves best local pet groomer the last 3 years in a row) has an opening for a full or part time pet groomer. The position requires the person to perform all pet grooming related duties necessary to ensure... 

The Mice Groups, Inc.

Process Technician Job at The Mice Groups, Inc.

Our Client is seeking a Process Technician (graveyard shift 6pm-6am) for a 2-year, W2-only, Contract position in Tualatin, OR. This position is onsite, Wed-Fri, and every other Saturday. Responsibilities: Perform technical tests and experiments for process engineering...

Marriott

Spa Massage Therapist Job at Marriott

 ...inappropriate guest behavior by following Marriott International standard operating procedures for Inappropriate conduct for guests and therapists, leading up to and including stopping a treatment or service and informing supervisor/manager. Maintain current skills and... 

Spring Mountain Treatment Center

PATIENT ADVOCATE Job at Spring Mountain Treatment Center

 ...JOIN OUR TEAM! Spring Mountain Treatment Center is currently seeking a dynamic professional to join our team as a full time Patient Advocate. Essential Functions Facilitate patient/family grievance process to include processing the complaint, forwarding to the...