Senior Compliance Lead: Sales & Trading (Broker-Dealer)

A global investment bank is seeking a Compliance professional in New York with extensive broker-dealer experience. Responsibilities include executing compliance testing, supporting the risk framework, and interpreting regulatory requirements. Candidates should have at least 5 years of compliance experience in investment banking or with broker-dealers, alongside strong knowledge of SEC and FINRA rules. This role offers a dynamic environment between sales and trading activities, focusing on risk and controls oversight. #J-18808-Ljbffr