Remote Director, Broker‑Dealer Compliance & Surveillance
Horace Mann
Horace Mann is seeking a Director of Supervision to lead the broker-dealer supervisory program, ensuring compliance with key regulations such as those from FINRA and the SEC. The successful candidate will oversee a team of regional supervisory principals, driving compliance strategies and enhancing surveillance programs.
This role requires extensive experience in broker-dealer compliance and supervisory leadership, with responsibilities including regulatory response coordination and development of supervisory training programs. The position offers a remote work environment along with a competitive salary.
#J-18808-LjbffrVacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Remote Director, Broker‑Dealer Compliance & Surveillance in United States vacancy
$180k - $260k
...operates two regulated entities: a broker-dealer and a registered investment... ...we're adding a second Chief Compliance Officer to take on one of... ...responses. Supervision & surveillance — Design and oversee... ...Francisco or New York. Exceptional remote candidates are encouraged to...Remote workSurveillanceFlexible hoursFrec Markets, Inc.
New York, NY3 hours ago- ...experienced and detail-oriented Compliance Supervisor to oversee risk... ...activities with our Broker-Dealer Trading Department. This role... ...toour office there. However, remote candidates are encouraged to... ...related inquiries. Conduct trade surveillance reviews and elevate...Remote workSurveillanceWork at office
$105.2k - $147.95k
...Director, Supervision – Broker Dealer Location: Remote Position Summary Leads the firm's broker‑dealer supervisory program, ensuring compliance with FINRA, SEC, and state regulatory requirements... ...supervisory strategy, enhances surveillance programs, and partners...Remote workSurveillanceHorace Mann
United States2 days ago- ...Equities & Options Broker-Dealer Compliance Advisor Chicago - Onsite About The Role: We are seeking a Surveillance Compliance Officer for our New York office, focused on trade and communications surveillance across multiple asset classes, exchanges...SurveillanceWork at office
Chicago Financial Search, Inc.
Chicago, IL8 days ago - PIMCO is seeking a Compliance Officer to join its Legal and Compliance Department. This role will handle broker-dealer compliance responsibilities, including overseeing the Licensing... ...and managing compliance programs for e-surveillance and conflicts of interest. Ideal...Surveillance
$290k - $335k
...the ever-evolving financial landscape, Compliance has become increasingly complex. Marex... .... Role Summary The Head of Broker Dealer Compliance is an expert in Broker Dealer... ...oversight of key programs, including trade surveillance, regulatory reporting, employee...SurveillanceFull timeWorldwideMarex
New York, NY13 days ago- ...Overview We are seeking a senior MLRO & Compliance Officer to lead the compliance and... ...crime function for our ADGM-licensed Broker Dealer entity. This role carries dual responsibility... ...programmes, including trade surveillance, conflicts of interest management, and...SurveillanceFull time
Bybit
United Arab Emirates11 days ago $99.4k - $142k
...Associate, Trading Operations (Broker Dealer) This role is required to be... ...eligibility Partner with Compliance, Finance, Product and... ...regulatory reporting, trade surveillance, and system enhancements Identify... ...collaboration with the flexibility of remote work. Expectations may vary...Remote workSurveillanceWork at officeFlexible hours$108k - $135k
PIMCO Ltd. is seeking a Compliance Officer to join their Legal and Compliance Department. This role involves managing broker-dealer compliance, including Form U4 and U5 filings, conflicts of interest oversight, and e-surveillance monitoring. The ideal candidate will have...Surveillance$108k - $135k
PIMCO Ltd. is seeking a Compliance Officer to join its Legal and Compliance Department in Newport Beach, CA. The ideal candidate will... ...experience in regulatory compliance within a FINRA-registered broker-dealer. This role involves managing licensing and registration...Surveillance$80k - $150k
Broker Dealer Compliance Officer - Junior Job ID: 00004K0F Category: SalesMarketing Location: CA Thousand Oaks Hours: 40 Monday to Friday... ...services divisions with an emphasis on trade monitoring and surveillance and CAT reporting. Additional responsibilities may include...SurveillanceWork at officeMonday to Friday- Horace Mann is seeking a Compliance Examiner - Broker Dealer to conduct on-site and remote examinations, review client files, trade blotters, and compliance materials. The role emphasizes risk identification, reporting, and collaboration with the Chief Compliance Officer...Remote job
- ...Compliance Manager, Broker-Dealer & Investment AdviserThe Compliance Manager, Broker-Dealer & Investment... ...reporting to the Compliance Lead (Director). This role is the operational engine... ...— owning execution, testing, surveillance, and day-to-day program management...Surveillance
Gusto
Denver, CO5 days ago $110.64k - $136.46k
...Compliance Manager, Broker-Dealer & Investment AdviserThe Compliance Manager, Broker-Dealer & Investment... ...reporting to the Compliance Lead (Director). This role is the operational engine... ...— owning execution, testing, surveillance, and day-to-day program management...SurveillanceWork at officeLocal area2 days per week3 days per weekColorwave Inc
San Francisco, CA4 days ago- ...Associate Director, Cybersecurity and NERC Compliance Management Consulting Travel Required: Up to 25% Clearance Required: None What You... ...monitoring entity (e.g., Independent System Operator, Market Surveillance, Utility Commission) and/or experience working in a...Remote workSurveillancePermanent employmentTemporary workWork experience placementWork at office
Guidehouse
United States2 days ago - ...Technical Program Manager Location: Remote in Singapore. Please note: Only candidates... ...leader in fraud detection and privacy compliance for digital advertising, protecting... ...multiple high-profile criminal and illegal surveillance cases, including: UNICEF:...Remote workSurveillanceCasual workFlexible hours
Pixalate
United States2 days ago $200k
...— currently a VP or senior Director at a larger system — who is... ...workflows, field coaching, compliance (e.g., ensuring every StretchMed... ...is the first job). Remote/distributed team leadership:... ...cadence and scorecards, not surveillance. P&L literacy: fluent in unit...Remote workSurveillanceFull timeWork at officeRelocation packageEverest Franchise Development
Doral, FL1 day ago- ...An exciting young and fast-growing New York Self Clearing Broker-Dealer seeks an experienced Chief Risk Officer to work directly with the... ...collaboratively across multiple teams onsite and when applicable in a remote work environment. ~ Must possess the ability to adapt to a...Remote work
ACG Texas
New York, NY1 day ago - Hold Brothers Capital, LLC, a self-clearing broker-dealer in US equities, headquartered in New York, seeks a Deputy CFO to manage day-to... ...under the CFO, ensure timely financial reporting, regulatory compliance and strong internal controls. Key duties include payroll administration...Remote job
- ...Technical Program Director Location : Hybrid In VA or NY... ...reimbursement Work Style Remote-first — work from the DC or... ...fraud detection and privacy compliance for digital advertising, protecting... ...criminal and illegal surveillance cases, including: UNICEF:...Remote workSurveillanceFull timeCasual workFlexible hours
Pixalate, Inc.
McLean, VAa month ago - ...maintaining the highest standards of regulatory compliance and operational excellence, ensuring... ...support the operational integrity of a broker-dealer and a futures and foreign exchange... ...essential support during on-site or remote examinations from the entity’s regulators...Remote work
Aquent Talent
Lone Tree, Douglas County, CO3 hours ago $185.37k - $308.95k
Associate Director, Medical Review Lead, MSRM Who we are At Agios... ...medical accuracy, regulatory compliance, and high-quality safety... ...processing with broader safety surveillance and risk management activities... ...the ability to be either remote in the US or hybrid in our Cambridge...Remote workSurveillanceTemporary workWork from homeFlexible hours3 days per week$150k - $180k
.../ Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker... ...projects. Contribute to the compliance program — account-opening escalations,... ...San Francisco or New York. Exceptional remote candidates are encouraged to apply. Compensation...Remote workPermanent employmentFlexible hours$163k - $237k
...related to physical security systems, compliance, and data center architecture. Experience... ...technology, Identity and PAM, video surveillance, high security intrusion detection, physical... ...will own the logical administration, remote maintenance strategy, and lifecycle...Remote workSurveillanceTemporary work$170k - $225k
...of Specialty Commercial, the Director of Underwriting leads the... ...operations, and team for the Dealers Insurance Division, serving... ...management, and regulatory compliance. The role oversees underwriting... ...provide technical supervision and surveillance, including Quality Control...SurveillanceFull timeWork experience placementWork at officeHome officeFlexible hoursUtica National Insurance Group
New Hartford, NY5 days ago$120.8k - $137.9k
...Overview Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the Role We are seeking a highly analytical and investigative... ...investigations into complex trading activity, and ensure ongoing compliance with SEC (Securities and Exchange Commission), FINRA...SurveillanceFull timePart timeLocal areaCapital One
New York, NYmore than 2 months ago$65k - $85k
...Responsibilities The Merchant Risk & Compliance Analyst position will support our... ..., including daily transaction activity surveillance, chargeback ratio analysis, and fraud trend... ...Conditions This position may be performed remotely or in a hybrid work arrangement,...Remote workSurveillanceFull timeContract workTemporary workFor contractorsWork experience placementCasual workMonday to FridayAfternoon shiftAxiom Bank
Maitland, FL10 days ago$159.4k - $181.9k
...services company is seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while also...Surveillance$148.75k - $175k
Job TitleDirector, Broker EngagementJob Description SummaryAs the leader of the integrated... ...required approvals are received in compliance for all broker hires, retention efforts... ...Illinois, USA; Saint Louis, Missouri, USA; Remote CW Site - USA - Flexible United StatesType...Remote workMinimum wageFull timeContract workWork at officeLocal areaImmediate startFlexible hoursShift work$125k - $165k
...forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the... ...activity. Product Operations: Partner with Product, Trading, Compliance, Legal, Finance, and Technology teams to operationalize new...Contract workWork at officeLocal areamoomoo
Jersey City, NJ5 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Remote Director, Broker‑Dealer Compliance & Surveillance. Be the first to apply!
Related searches