Associate Director, Compliance FINRA/SEC Expert
WEBULL
Webull in New York, NY is seeking an Associate Director of Compliance. In this role, you will leverage your senior compliance expertise focusing on FINRA and SEC regulations, draft and maintain Written Supervisory Procedures, and manage training programs. The ideal candidate possesses strong analytical and problem-solving skills, with a minimum of 5 years of experience. We offer a competitive salary of $135,000-$165,000, comprehensive health coverage, and a dynamic work environment including catered meals and wellness benefits. #J-18808-Ljbffr
$125k - $150k
6AM City, LLC is seeking a Chief Compliance Officer for a regional law firm. The role requires overseeing compliance programs, developing... ...for various clients. The ideal candidate will have extensive SEC and FINRA knowledge, strong analytical abilities, and experience in...Suggested- ...Rutherford Search is seeking an experienced Chief Compliance Officer in New York to lead the compliance function for a respected investment... ...developing and overseeing the compliance programme, managing SEC inquiries, and advising on regulatory matters across various investment...Suggested
$125k - $140k
...Job Title: Associate Director, Regulatory Compliance Department: Legal & Compliance Reports... ..., become a subject matter expert on) institutional and... ...compliance programs for an SEC Registered Investment... ...(4)-1 ~ Series 7 and 24 FINRA registrations ~ Bachelor...SuggestedWork at officeRemote workWork from home$110k - $120k
...Cresset Capital is seeking an Associate Director of Compliance for its Denver office. This role requires 5+ years in financial services, focusing on... ...analytical and communication skills, along with proficiency in SEC regulations. We offer a competitive salary range of $110,0...SuggestedWork at office- ...Partners is looking for a Senior Associate of Compliance or Associate Director of Compliance to have... ...regulatory matters relating to SEC (e.g. investment advisor) CFTC / NFA and FINRA (e.g. broker-dealer) rules,... ...training regarding use of expert networks / MNPI, marketing,...SuggestedContract workWork at officeShift work
$200k - $240k
...teams. Business Overview Risk & Compliance works closely with our... ...reporting. The Role Assists the Director, Risk & Compliance in the... ...projects including advisory work associated with new product development... ...for regulators (e.g. SEC, FINRA, OSC, etc.). Assist with AML...Temporary workWorldwideFlexible hours- Howard-Sloan Search is looking for a compliance leadership professional in New York, NY, to ensure adherence to FINRA and SEC regulations governing broker-dealer activities. The role involves designing and maintaining robust compliance programs, overseeing regulatory reporting...
- ...Kyverna Therapeutics is hiring an Associate Director for SEC Reporting & Technical Accounting. This remote-eligible role involves leading SEC filings, overseeing SOX compliance, and providing technical accounting guidance. The ideal candidate must have a CPA license and...Remote work
$114.8k - $187.4k
...A leading biopharmaceutical company is looking for an Associate Director, Government Pricing, to join their team in the United States. The role involves ensuring compliance with pricing regulations and accurately calculating government pricing. Applicants should have...- ...Bristol Myers Squibb seeks an Associate Director, Quality Control Microbiology Laboratory Operations to lead microbiological quality control... ...at the Devens site. Responsibilities include ensuring compliance with regulatory requirements and internal quality standards,...
- ...A leading healthcare technology consultancy is seeking an Associate Director to lead revenue cycle technology engagements. This senior role requires deep expertise in Epic revenue cycle platforms and involves managing client relationships and engagement teams. The ideal...Remote work
$92k - $96k
...looking for an experienced EDGAR Specialist to ensure precise SEC filings and support both partners and clients. This fully remote... ...skills and excellent attention to detail, with a commitment to compliance and quality control. The position offers a competitive salary ranging...Remote work- Mercor is looking for Accounting Experts to join their remote team. Candidates should have over 5 years of experience in corporate accounting... ...include constructing multi-entity consolidations, managing SEC reporting for large firms, and developing SOX programs. Strong familiarity...Remote jobContract work
$65k
...The 01 Philadelphia College of Osteopathic Medicine is seeking an Associate Director for Student Services in Financial Aid and Compliance. The successful candidate will play a key role in managing financial aid programs, providing counseling to students, and ensuring compliance...- ...Associate Director / Director IT Quality & Compliance Associate Director / Director IT Quality & Compliance, Australia based We’re Avance Clinical a Contract... ...already work in this industry, you ’ll know that we are experts in our field and have an unrivalled reputation for...Contract workShift work
$90k
...Prospect Schools in New York City seeks an Associate Director of Student Support to lead compliance and enhance services for exceptional learners. This leadership role involves developing and implementing support programs, ensuring adherence to IEPs and 504 Plans across...- ...them achieve their goals. Job Description Reporting to the Director of the Office for Community Support, Non-Discrimination,... ...(CSNDR) and University Title IX Coordinator, the Associate Director for Compliance and Title VI Coordinator is responsible for oversight of...Work at officeLocal area
$142.65k - $214.5k
KPMG LLP is seeking Managers in New York, NY, to handle SEC regulatory filings, accounting support for mergers, and audits. A Bachelor’s degree in Accounting or related field with five years' advisory experience is required, while a Master’s with two additional years is...- ...Job Summary This role will be responsible for end-to-end ownership of all Risk & Compliance engagements for clients. This is a leadership role that will report to the AVP Digital Assurance, and work closely with global delivery leaders, senior practice heads, and cross...Temporary work
$140k - $175k
...We are seeking a Associate Director, Security & Compliance to lead security, privacy, and compliance for our SaaS products and the client projects we deliver as an agency. You will own this capability end to end, from new business through implementation, certification,...Remote work$172k - $236.5k
...for the treatment of gMG, and with the potential to treat patients across dozens of severe autoimmune diseases. The Associate Director Ethics & Compliance (E&C), Risk Assessment and Monitoring is a key member of our E&C team who supports our operations and is based in...Temporary work$90 - $100 per hour
...interdependencies and serves as Global Regulatory Publishing subject matter expert Serve as primary point of contact between cross‑functional team... ..., compiled, validated, and delivered in the required format in compliance with regional requirements. Perform quality control (QC)...Contract workRemote workMonday to FridayShift work$90 - $100 per hour
...Regulatory Operations and a Bachelor's degree in life sciences or a related field. Responsibilities include vendor management, ensuring compliance with submission content, and contributing to process improvements. This remote role offers a competitive pay rate of $90-$100/hr...Remote workMonday to Friday- ...A global research university in New York seeks an Associate Director in Research Data Management and Security. This critical role involves... ...assessments and managing Data Transfer Agreements to safeguard research data and compliance with federal mandates. #J-18808-Ljbffr...Contract work
- ...Oscar Health Insurance is seeking an Associate Director, Tax to lead compliance and planning for its tax functions. This role involves managing relationships with external consultants, ensuring compliance with tax regulations, and leading the preparation of financial...
- A globally recognized staffing firm is seeking a Manager of SEC Reporting in New York. This role requires preparing quarterly and annual SEC filings, ensuring compliance with regulations, and leading a team to improve financial reporting processes. The ideal candidate should...
$200k - $225k
...Syndax Pharmaceuticals is looking for an Associate Director, Regulatory Strategy At Syndax, we are determined to realize a future in... ...Proactively anticipates and mitigates regulatory risks. Ensures compliance with global regulatory requirements. Manages assets through...Work at officeLocal areaRemote work$105.6k - $132k
Framework Ventures is seeking an experienced accounting professional to manage SEC reporting and financial statements while leading a high-performing team in the United States. The role requires expertise in US GAAP and SEC regulations, along with excellent project management...$176.4k - $207.5k
...Initial Therapeutics, Inc. seeks an Associate Director of Regulatory Affairs in New York, NY, to lead the development of regulatory strategies for unique products. The ideal candidate will have over 10 years in the pharmaceutical industry, with at least 8 years focused...Remote work$176.4k - $207.5k
...Recursion is seeking an Associate Director of Regulatory Affairs to oversee global regulatory strategies and submissions. The role requires... ...cross-functional teams to manage regulatory risks and ensure compliance. The ideal candidate has over 10 years in the pharmaceutical...Remote work
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