Broker-Dealer Compliance Specialist (FINRA & U4/U5)
Blue Owl Capital
Blue Owl Capital is searching for a compliance professional to manage its broker-dealer compliance program. This position involves implementing compliance policies, coordinating FINRA filings, and providing training. The ideal candidate will have a minimum of 2 years of experience in broker-dealer compliance and hold Series 7 and Series 24 licenses. This role is in office Monday to Thursday and offers a competitive salary based on experience and qualifications. #J-18808-Ljbffr Blue Owl Capital
- Blue Owl Capital Holdings LLC is seeking a compliance professional to manage the Compliance program for its broker-dealer affiliate, Blue Owl Securities LLC. This role includes... ...and procedures to maintain compliance with FINRA requirements and overseeing annual reports and...Suggested
- Blue Owl Capital is seeking a compliance professional to join the team... ...program for the firm’s broker‑dealer affiliate, Blue Owl Securities... ...to maintain compliance with FINRA requirements. Responsibilities... ...onboarding, including Forms U4, U5, BR, and BD. Support the broker...Suggested
$70.6k - $139.8k
...Livingston, NJ, to lead client engagements and mentor teams. The ideal candidate has 2+ years of audit experience, preferably in the Broker Dealer sector, and will build strong client relationships. This role offers growth opportunities and competitive compensation ranging...Suggested$70.6k - $139.8k
...align with your professional goals. Are you up for the challenge? We’re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical. As an Audit Senior Associate, you will further learn to lead, gain deep industry insight, and grow...SuggestedLocal areaHome office$70.6k - $139.8k
...in Livingston, New Jersey is seeking an Audit Senior Associate with a robust background in external audit, particularly in the Broker Dealer industry. The role includes overseeing client engagements, mentoring junior staff, and maintaining strong client relationships....Suggested$91.4k - $186.9k
...and approaches tailored to clients' industry and risks; ensure compliance with regulatory requirements and accounting standards.... ...relevant public accounting external audit experience working with Broker Dealer clients. Must have CPA certification aligned to the assigned...Home office$101k - $131k
...statutes and regulatory environment to new product development initiatives. All job duties and responsibilities must be carried out in compliance with applicable legal and regulatory requirements. Note: (For NJ candidates) This role will be located at our future...Remote jobInterim role- Crowe is seeking an Audit Manager in Livingston, NJ, to manage audit teams and ensure compliance with professional standards and policies. The role includes overseeing client relationships and managing the entire audit process, from budgeting to presenting findings to...
$45k - $55k
...Licensing Manager in Berkeley Heights, NJ, for a hybrid role. This position involves managing licensing activities and ensuring compliance with state regulations for the Specialty Program Group. Applicants should have an associate degree and 2-5 years of experience in...- ConnectOne Bancorp, Inc. is looking for a Mortgage Insurance Administrator to manage insurance information for loans. You will be responsible for obtaining and safeguarding insurance coverage while supporting client interactions and ensuring all records are accurate and...
- U.S. Customs and Border Protection is seeking a Seized Property Specialist based in Newark, New Jersey. This position involves ensuring compliance with property management policies and overseeing the processing of seized assets. The ideal candidate must be a U.S. citizen...
- ...Purpose and Scope of the Position The Compliance Specialist, Equipment Commissioning & Qualification, supports the successful operation of facility, laboratory, and business functions at multi-use sites through interaction with internal team members and peer-level customers...Work at officeLocal area
$70k - $75k
...Regulatory Compliance Specialist Base pay range: $70,000.00/yr - $75,000.00/yr The Regulatory Compliance specialist, in this highly detail-oriented role, is responsible for coordinating the workflow of domestic and international product labeling projects, maintaining all...Full timeWork at officeImmediate start$70k - $75k
...The Regulatory Compliance Associate, in this highly detail‑oriented role, is responsible for coordinating the workflow of domestic and international product labeling projects, maintaining all project documentation, obtaining required approvals, and communicating new and...Full timeWork at office- ...professional to verify healthcare providers' qualifications to ensure adherence to regulatory standards. The role involves enforcing compliance, managing credentialing processes, and maintaining accurate databases. Essential skills include strong communication, the ability...
- ...Professionals Considering an exciting new career as a professional trader? T3 Trading Group, LLC ( ) is a Registered SEC Broker-Dealer & Member of FINRA/SIPC. We are recruiting hardworking, entrepreneurial entry level-traders for remote positions in our nationwide Trading...H1bWork at officeRemote workVisa sponsorship
- Job Title I-9 Compliance Specialist Location Onsite: 100 Deforest Ave., East Hanover, NJ 07936 Work Hours 9:00 AM to 5:00 PM (40-hour work week) Job Description We are seeking a knowledgeable and detail-oriented I-9 Compliance Specialist to support a high-visibility internal...Local area
- An established industry player is seeking a Compliance Specialist to ensure equipment compliance and support operational excellence in a dynamic environment. In this pivotal role, you will engage with internal teams and external partners to uphold regulatory standards and...
- Omni Inclusive in Summit, NJ, is seeking a Compliance Specialist to support facility and laboratory operations through adherence to local and global regulations. The ideal candidate will have extensive knowledge of compliance requirements and experience in a regulated environment...Local area
$75k - $90k
...Prepare capital call and distribution calculations and prepare and distribute letters Prepare NAV calculations Investor and compliance reporting Daily client interaction Matrix reporting structure for client services Internal responsibilities (status...Local areaRemote workWorldwideMonday to Friday$34 per hour
Overview Showami is a service that licensed real estate agents use to earn money by assisting with buyer and rental showings, light inspection reports, Open Houses and other real estate tasks. We are seeking licensed real estate agents in Summit and surrounding areas to...$250k
...Jersey. This role involves verifying application information, advising clients on home loan options, and reviewing loan files for compliance. Candidates must have a valid state license and relevant experience. PRMG offers a comprehensive benefits package and up to $250,...$55k - $65k
EVE INTERNATIONAL LOGISTICS INC, based in Chicago, is looking for a Carrier / Driver Compliance Officer. This role involves managing driver eligibility and overseeing compliance, particularly related to postal operations. The ideal candidate will have strong organizational...- ...supporting marketing efforts. The role involves regular communication with clients and team members, preparing reports, ensuring compliance with real estate regulations, and providing excellent customer service. The individual will play a key role in delivering exceptional...Full time
- ...license or have recently completed their pre-license requirements. There are also openings for experienced real estate salespersons and broker-salespersons. Candidates must be interested in building a strong, scalable real estate business and being top earners in the...Work at office
- Summary You have the opportunity to be surrounded by and learn from and grow with the top 5% of real estate professionals in North America. Come grow with us as a Real Estate Agent. We have a proven path and will provide you with the models, systems, tools, coaching, training...
- ...changes in the marketplace, and other pertinent industry data. Qualifications Required ~2+ years successful sales experience. ~ FINRA Series 6 and 63 licensing is required, but candidates with a great sales acumen and a financial background will be considered...
$112.4k - $194.5k
Launch Your Real Estate Career With Us! Are you driven, ambitious, and excited about starting your journey in the real estate industry? Our growing real estate brokerage is seeking enthusiastic individuals to join our team as Real Estate Sales Agent Trainees. This is your...Traineeship- Overview At Integrated Financial Concepts, we're on a mission to do good for the families and communities we serve. For over 175 years, National Life has been a steadfast partner in providing financial stability through life's ups and downs. As a Licensed Insurance Sales...
- Michelle Josias - State Farm Agent in Maplewood, NJ is looking for an outgoing, customer-focused individual to join the team. This role involves establishing customer relationships, educating clients about insurance options, and developing leads. Candidates should have ...Flexible hours
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