Director of Regulatory Compliance & Surveillance

Posted yesterday

daiwa capital marketNew York (NY)

Compliance Managers Investment Banking and Securities Intermediation

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About the role

Daiwa Capital Markets America Inc. is seeking a Regulatory Compliance, Reporting & Surveillance Director in New York to lead key compliance programs across Institutional Equities, Fixed Income, Treasury and Futures. The role partners with Front Office, Operations, Risk, Legal, IT and regulators to drive policy and control improvements. The ideal candidate has 10+ years in broker‑dealer compliance, strong regulatory reporting and surveillance expertise, and a track record of leadership in a

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