Business Broker Salary in New York, New York

This position reports to the Vice President, Compliance Officer for Nuveen Americas Distribution Compliance, who is responsible for contributing to the development of strategy, and managing the execution of the Nuveen Securities, LLC and Nuveen Canada Company, Compliance Programs. Nuveen Securities, LLC, is a registered U.S. broker-dealer, which serves as the underwriter and distributor for the Nuveen and TIAA-CREF family of mutual funds. In addition, Nuveen's distribution activities in the Americas also includes Nuveen Canada Co., which serves as an exempt market dealer in certain provinces in Canada. The position will be responsible for supporting aspects of the Nuveen Securities Compliance Program relating to distribution activities and expected to provide top-flight compliance service to the relevant business partners. Key Responsibilities and Duties The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive. Adm

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. The anticipated salary range for this role is between $70,000.00 and $83,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive por

Job Title: Trade Compliance Officer Job Summary: Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding Client, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including Client and SEC rul

Who Are We? Taking care of our customers, our communities and each other. That's the Travelers Promise. By honoring this commitment, we have maintained our reputation as one of the best property casualty insurers in the industry for over 160 years. Join us to discover a culture that is rooted in innovation and thrives on collaboration. Imagine loving what you do and where you do it. Job Category Risk Control Compensation Overview The annual base salary range provided for this position is a nationwide market range and represents a broad range of salaries for this role across the country. The actual salary for this position will be determined by a number of factors, including the scope, complexity and location of the role; the skills, education, training, credentials and experience of the candidate; and other conditions of employment. As part of our comprehensive compensation and benefits program, employees are also eligible for performance-based cash incentive awards. Salary Range $100,

Chief Compliance Officer Registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading for the US markets via various APIs, front-ends, and order management systems. . The executing broker is a direct member of all of the US Equity Exchanges, has access to all US Options Exchanges, and multiple market makers and is currently clearing through a number of clearing firms as an introducing broker dealer. The firm is also a member of the NFA and is in the process of building out a retail offering for futures. In addition, the firm is in the process of applying for self-clearing for its retail business. While the position is primarily focusing on the registered broker-dealer the individual will be expected to assist with other related projects for the firm. The company has been in existence since for over 20 years, and since 2010 has been focused on providing electronic trading services to institutional and re

As a leading provider of insurance and reinsurance with worldwide operations and employees in Bermuda, U.S., U.K., Continental Europe and Asia, we recognize that our success is derived directly from those who matter the most: our people. At Sompo International, our values of integrity, collaboration, agility, execution and excellence underpin our culture and our commitment to providing an employee experience that attracts and engages the best talent in the industry. As we continue to grow, we strive to find diverse, innovative and driven professionals to join our teams and offer a broad range of career and development opportunities at all levels, in multiple business areas, in each of our locations throughout the world. Our compensation and benefits programs are market driven and competitive, with excellent family friendly policies and flexible working provisions. Job Description As a leading global provider of insurance and reinsurance, we recognize that our success is derived directl