Pillar · Brokerage & IB
Brokerage & Investment Banking
Broker-dealers, investment banks, swaps and commodities dealers, and prime brokerage. Compliance leadership steeped in FINRA, supervisory frameworks, anti-fraud, and market-conduct rules.
Sub-sectors covered
- Broker-dealers
- Investment banks
- Swap dealers
- Commodity trading advisers
- Prime brokerage
Representative roles placed
- Chief Compliance Officer
- Head of Supervision
- AML Officer
- Series 24 Principal
- Director of Compliance Operations
At a glance
- Comp range
- $140K – $325K base
- Regulators
- FINRA · SEC · CFTC · NFA
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