Executive Director – Prime Brokerage & Equities Compliance

What you’d do

Lead compliance advisory for Prime Brokerage, Cash Equities, and broker-dealer activities, providing risk-based guidance, challenging new products, and managing regulatory exams and remediation. Full-time role in New York, NY. Found on the employer's careers page on Oct 18, 2026. Apply through the link.

You’ll need

• 7+ years of compliance experience
• Prime Brokerage platform experience
• Financing, securities lending, margin, clearing knowledge
• Regulatory exam and audit experience