Broker-Dealer Compliance Lead, US (FINRA/SEC) - Hybrid/Remote
$230k - $280kCrypto
Crypto.com is seeking an experienced professional to oversee US Broker-Dealer compliance operations in Manchester, NH. The role involves managing compliance activities, preparing regulatory filings, and serving as the primary contact for audits. Candidates should have Broker-Dealer compliance experience and hold Series 7 and 24 registrations. The position offers a competitive salary between $230,000 - $280,000 per year, along with benefits such as a 401(k) plan, flexible work options, and an inclusive work culture. #J-18808-Ljbffr
$230k - $280k
...professional to oversee our US Broker-Dealer compliance operations. This role is... ...working closely with our FINRA-licensed entity to ensure... ...execution reviews, including SEC Rule 605/606 reporting... ...Adoption. Flexi‑work hour and hybrid or remote set‑up Aspire career...Remote workWork at office$92k - $100k
...the development of new and/or enhanced compliance programs and enterprise-wide initiatives... ..., regulations, rules, and applicable FINRA licensing. (Series 7, 24 and 65/66 preferred... ...work location designation (in-office, hybrid, remote) and operational needs. Salary may vary...Remote workContract work$135k - $165k
...Webull Financial is seeking an Associate Director of Compliance in New York to lead compliance efforts in regulatory frameworks including FINRA and SEC. The position requires a strong compliance professional with 5 years of related experience. The role includes drafting...Suggested$97.9k - $146.8k
...Suite 200 Boca Raton, FL 33431, USA Hybrid Full-Time Requisition #: LEADC002283... ...America Financial Group Job Title: Lead Compliance, Broker / Dealer Location: Boca Raton, FL (hybrid) Who... ...Required Qualifications: Knowledge of FINRA and SEC rules applicable to broker/dealers....SuggestedFull timeWork at office- Mutual of America is seeking a Lead Compliance professional to oversee the compliance program of its broker/dealer subsidiary in Boca Raton, FL. This hybrid role involves assisting the VP of... ...experience and be well-versed in FINRA and SEC rules. The position offers a...Suggested
- ...Regulatory Reporting Manager (Broker Dealer) in St. Louis, Missouri... ...entities, ensuring compliance with SEC and FINRA requirements. The manager leads a team of analysts,... ...financial accounting. A hybrid schedule is offered, requiring... ...3 or more days a week. #J-18808-Ljbffr Us BankWork at office3 days per week
- ...digital asset firm is seeking a Head of Compliance in New York. This role involves ensuring regulatory compliance for the firm’s US entity, with direct responsibilities for... ...8-12 years of compliance experience in broker-dealers or investment banks, with relevant licenses...Flexible hours
- ...Financl Rptg, Advisor to prepare SEC financial reports and ensure compliance with GAAP. The successful... ...cross-functional collaboration, leading process improvements, and... ...standards. The position offers a hybrid work model allowing part-time remote work. #J-18808-Ljbffr...Remote workPart time
$92k - $100k
...to the development of new and/or enhanced compliance programs and enterprise‑wide initiatives.... ...laws, regulations, rules, and applicable FINRA licensing (Series7, 24 and65/66 preferred... ...6 &26 acceptable). Working Conditions Hybrid position requiring three days (Tuesday-Thursday...Relocation package- US Bank is seeking a Regulatory Reporting Manager in Charlotte... ...of regulatory filings for broker dealer entities. You will lead a team, ensuring compliance with SEC and FINRA requirements while driving process... ...leadership capabilities. A hybrid schedule is offered, along...
$86.36k - $101.6k
...and have 5-8 years of relevant experience. This role supports a hybrid work schedule, requiring in-office attendance 3+ days per week. The... ...range of $86,360 to $101,600 along with comprehensive benefits including healthcare and retirement plans. #J-18808-Ljbffr Us BankWork at office3 days per week$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options... ...Broker-Dealer regulatory bodies (e.g. FINRA, SEC). Adhere to the operational risk... ...Working well with others is necessary for us to succeed at what we do. Developing...Immediate start- ...Financial Group, Inc. is seeking a Sr Compliance Analyst for the Broker/Dealer Compliance team to oversee the... ...administration of the Compliance Program. This remote position requires extensive knowledge in compliance with SEC and FINRA regulations. Responsibilities...Remote work
$40 - $60 per hour
...seeking an additional Compliance Officer to join... ...to client broker-dealers, including establishing... ...experience and hold active FINRA Series 7 & 24... ...to satisfy FINRA, SEC, state and federal... ...We offer a fully remote work environment... ...background allows us to approach our work...Remote workHourly payFlexible hours- ...corporate offices. Position Sr. Compliance Analyst, Broker/Dealer – key contributor to the... ...Understanding of FINRA rule 4530 and its application... ...function with concentrations in SEC‑registered investment adviser... ...employment. Please contact us to request accommodation....Remote workTemporary work
$81.1k - $121.7k
...Legal Department is hiring a Sr. Compliance Analyst, Broker/Dealer to be a key contributor on the Broker... ...extensive knowledge and expertise with SEC, FINRA, SEC 1940 Act, State, ERISA, DOL,... ...Ability to work in Central or Eastern US Time Zone Business Hours Experience...Remote workFull timeTemporary workWork experience placementWork at officeWork from home$66k - $95k
...Broker Dealer Compliance Team Member The Broker Dealer (BD) Compliance... ...experience ~ FINRA Series 7 & 24... ...understanding of FINRA, SEC, and state regulatory... .... #LI-Hybrid About Us About Us What... ...Group® ("Cetera") is a leading network of independent...Full timeWork at officeFlexible hoursShift work$156.17k - $192.61k
...Compliance Lead, Broker-Dealer & Investment Adviser Denver, CO; San Francisco, CA; New York, NY... ...documented thoroughly, and defensible under SEC and FINRA scrutiny. This is not a policy-only... .... This includes non-office days for hybrid employees. Our customers come...Full timeWork at officeLocal area2 days per week3 days per week$40 - $60 per hour
...seeking an additional Compliance Officer to join our team... ...services to client broker-dealers, including establishing... ...experience and hold active FINRA Series 7 & 24 licenses... ...to satisfy FINRA, SEC, state and federal... ...dealers. We offer a fully remote work environment with...Remote workHourly payFlexible hours$65k - $75k
...Transamerica Corporation in Cedar Rapids is looking for a Compliance Analyst. This role involves mitigating legal exposure by enforcing... ...degree and two years of relevant experience. The position offers a hybrid work model and a salary range of $65,000 to $75,000 annually....- ...a Senior Business Analyst to support regulatory reporting for broker-dealer operations. This role involves translating complex regulations... ...excellent analytical and collaborative skills. This position offers a hybrid work environment, allowing flexibility for qualified...
- ...in Raleigh, NC, is seeking a Manager BSA Compliance to lead day-to-day operations of BSA processes... ...activity monitoring and compliance tasks. This hybrid role requires strong analytical skills,... ...and organizational skills. Join us to help maintain our commitment to compliance...Remote job
- A leading financial institution in Dallas is seeking a Manager for U.S. Broker Dealer Regulatory Reporting. This role involves preparing regulatory calculations, ensuring compliance with SEC regulations, and collaborating with various teams. The ideal candidate will hold...
- ...transactions ensuring accurate settlements and compliance. The hybrid role offers onsite work Monday through Thursday and remote work on Fridays for candidates in the Kansas... ...and is open to remote candidates throughout the US. Key qualifications include 5+ years of...Remote workMonday to Thursday
- ...manage post-trade currency transactions and ensure compliance and timely settlement. You will oversee FX payments... ...relevant experience and a strong understanding of international payments. This hybrid position allows remote work within the US. #J-18808-Ljbffr UMB BankRemote work
- ...sciences company is seeking a Brand Insights - US Chapter Lead to guide insights in decision-making.... ...leadership and communication skills. A hybrid work model is offered, balancing office presence in Northbrook, Illinois with remote work opportunities. Join us and impact...Remote workWork at office
- Raymond James is seeking a compliance expert for a hybrid role in St. Petersburg, FL, with a focus on retail equities and options trading within... ...advisory and oversight, ensuring adherence to SEC and FINRA regulations. The ideal candidate will have at least 8 years...Remote job
- ...Gusto is seeking a Compliance Lead for its Retirement Compliance Team in San Francisco. This... ...Registered Investment Adviser and Broker-Dealer entities, ensuring frameworks and controls... ...experience, strong knowledge of FINRA and SEC rules, and excellent written communication...
$92.29k - $112.8k
...University seeks a research compliance professional with... ...materials on research security Leading or participating in... .... What We Need Send us a cover letter and resume... .... It is eligible for a hybrid work arrangement with... ...2,289.00 - $112,798.00 Remote Option Availability: Hybrid...Remote workContract workWork at officeLocal area$66k - $95k
The Broker Dealer (BD) Compliance team is responsible for ensuring that... ...experience FINRA Series 7 & 24 required... ...understanding of FINRA, SEC, and state regulatory... ...considerations. #LI-Hybrid About Us About Us What we... ...Group® ("Cetera") is a leading network of...Full timeWork at officeFlexible hoursShift work
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