AVP, Compliance Control Room - Hybrid NYC
wedbushNew York, NY
AVP, Compliance Control Room - Hybrid NYC
wedbushNew York, NY
today
Occupations
Compliance ManagersCompliance OfficersSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous IntermediationAbout the role
Wedbush Securities seeks an AVP, Compliance Control Room, to oversee controls mitigating conflicts of interest and information barrier integrity. Hybrid role based in New York City. You will monitor employee trading, implement policies, and coordinate cross-department compliance efforts.
The position requires strong regulatory knowledge, 5+ years in the industry, and excellence in analysis and communication. A structured program supports ongoing training and policy development.
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JOB OVERVIEW
Experience level
Senior
Location
New York, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
today
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