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
$100k - $115k
...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. This role reports... ...onboarding, including Forms U4, U5, BR, and BD Support the broker...SuggestedPermanent employmentTemporary workWork at officeFlexible hours- 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
$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
...re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical.As an Audit Senior Associate, you will... ...our people to act ethically and with integrity at all times.In compliance with federal law, all persons hired will be required to verify...SuggestedLocal areaWorldwideHome office$120.9k - $254.9k
...’re looking for Audit Senior Managers with experience in the Broker Dealer industry vertical. As an Audit Senior Manager, you will further... ...people to act ethically and with integrity at all times.In compliance with federal law, all persons hired will be required to verify...SuggestedLocal areaWorldwideHome office- ...located in Livingston, NJ, is seeking an Audit Senior Manager to provide traditional attestation services and lead teams in the Broker Dealer industry. You will manage client relationships, lead teams, and ensure audit quality. The ideal candidate will have 8+ years of...
$101k - $131k
A leading U.S. insurance firm is seeking a Regulatory Compliance Officer in Short Hills, NJ. The role involves ensuring compliance with insurance regulations, collaborating with business units on necessary changes, and providing support for regulatory inquiries. Ideal...$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....$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$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...Local areaHome office$120.9k - $254.9k
...'re looking for Audit Senior Managers with experience in the Broker Dealer industry vertical. As an Audit Senior Manager, you will further... ...to act ethically and with integrity at all times. In compliance with federal law, all persons hired will be required to verify...Local areaWorldwideHome office- 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
...HUB International is seeking an Insurance Licensing Compliance Coordinator to manage licensing activities ensuring compliance across states. This role involves regulatory research, application processing, and maintaining license data. Ideal candidates will possess an...- ...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...
- ...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...
- ADP is hiring a Compliance Analyst. At ADP we are driven by your success. We engage your unique talents and perspectives. We welcome your ideas on how to do things differently and better. In your efforts to achieve, learn and grow, we support you all the way. If success...Contract work
- Micro1 is seeking a Building Code Compliance Expert to assist in training AI systems with real-world insights into building codes, permitting, and inspections. Responsibilities include reviewing architectural plans for compliance, collaborating with project teams, and...Remote job
$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 headquarters...Remote jobInterim role- 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
$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- Novartis is seeking a Customer Interaction Operations Support Specialist in East Hanover, NJ (Hybrid) to provide operational support for educational events. The role involves compliance management, interaction with sales teams, and financial administration. The ideal candidate...Contract work
$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$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...$50k - $150k
...teamwork. You focus on advising and closing. Our top producers focus on generating volume. Operations focuses on process and compliance. Everyone stays in their lane - and everyone earns more because of it. If you're ready to step into a collaborative, high-...For contractorsLocal areaImmediate startRemote work$150k
Job Description Job Description Launch Your Real Estate Career With a Team Built Around Your Success If you're ready to dive into real estate and build something real, this is your chance to learn the business the right way from day one. We're looking for motivated...Traineeship$160k
Job Description Job Description Real Estate Showing Agent – Build Momentum and Earn While You Grow If you’re looking to grow your real estate career in a role that keeps you active, engaged, and building client relationships every day, this is a strong opportunity...Local areaImmediate start$140k
Job Description Job Description The People You Choose to Build Your Real Estate Career Around Can Change Everything That is not an overstatement — it is one of the most important and consistently overlooked truths in this business. The agents who build real, lasting...- 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 Agent,...
$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...Full timeWorldwideMonday to Friday$50k - $100k
DESCRIPTION: Are you eager to start a rewarding career in real estate but worried about your lack of experience? Don't be! We are looking for motivated individuals with a passion for helping others to join our team as Real Estate Agents. No prior experience is necessary...Local area
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