SVP, Broker-Dealer Compliance - Remote Fridays
Icapitalnetwork
- Remote job
iCapital is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team in Salt Lake City, Utah. The role involves overseeing compliance with FINRA and SEC regulations, with key responsibilities in leadership and strategic direction. The ideal candidate will possess extensive experience in broker-dealer environments and expertise in alternative investments. iCapital offers a competitive salary, equity compensation, and a comprehensive benefits package. #J-18808-Ljbffr Icapitalnetwork
$200k - $250k
...Series 7 and 24, you cannot be considered for this role. Broker-Dealer Chief Compliance Officer Position Overview A leading financial... ...week in the office , with flexibility around which day is remote. Friday is commonly used as the remote day. Approximately three...Remote workWork at officeRelocation package- 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
$40 - $60 per hour
...We're currently seeking an additional Compliance Officer to join our team. In this role,... ...regulatory compliance services to client broker-dealers, including establishing processes. The... ...maintaining broker-dealers. We offer a fully remote work environment, a company culture...Remote jobHourly payFlexible hours- 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
$213.31k - $355.45k
...Executive Vice President and provide strategic legal advice to LPL’s broker-dealer, custodial, and investment advisory platform businesses. The... ...leadership to shape legal and regulatory strategy, advises Compliance, Supervision, Risk, Business Development, and Corporate...Suggested- ...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
- ...seeking an experienced and detail-oriented Compliance Supervisor to oversee risk management and compliance activities with our Broker-Dealer Trading Department. This role ensures... ...able to report toour office there. However, remote candidates are encouraged to apply. Key...Remote workWork at office
$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$110k - $140k
...Robert Half Financial Services is recruiting for a Compliance Associate role for a global Broker Dealer firm located in downtown Manhattan, New York. Our client... ...6 Reporting and Code of Ethics. This role is hybrid remote requiring 4 days per week in the downtown Manhattan...Remote workWork at office$80k - $150k
Broker Dealer Compliance Officer - Junior Job ID: 00004K0F Category: SalesMarketing Location: CA Thousand Oaks Hours: 40 Monday to Friday 6am to 230pm Pay: $80,000.00 $150,000.00 Compliance Office Needed in Thousand Oaks Job Description An institutional broker-dealer...Work at officeMonday to Friday- ...professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns... .... The role is distinct from the compliance function and focuses on day-to-day operational... ..., CT; or Fort Lauderdale, FL. However, remote candidates are encouraged to apply....Remote workTemporary work
$185k - $242k
...Regulatory Affairs & Registrations (U.S. Broker-Dealer)Skip to main contentWe may use cookies... ...sites four days per week and work remotely one day. A member of our recruitment team... ...applicable regulators.Operating within the Compliance function and the Three Lines of Defense...Remote workWork at officeLocal area- ...approach to problem-solving. Employees benefit from a competitive salary, commission opportunities, growth potential, and work-from-home options on Fridays. This is a full-time role requiring completion of licensing requirements. #J-18808-Ljbffr Teri Starry - State Farm AgentRemote jobFull timeFor contractorsWork from home
- ...Wilmington, DE or Livingston, NJMonday to Friday 9:00 a.m. to 6:00 p.m.Summary:Our US... ...lettersPrepare NAV calculationsInvestor and compliance reporting Daily client interaction... ...business needs allow, CSC offers hybrid or remote work schedules in alignment with local regulations...Remote workLocal areaWorldwide
- ...team at Texas Oncology . This full-time remote position will support the Oncology... ...Texas. Typical work week is Monday through Friday, 8:00a - 5:00p. Note from Hiring Manager... ...Supports and adheres to the US Oncology Compliance Program, to include the Code of Ethics...Remote workFull timeWork experience placementWork at officeMonday to FridayShift work
- A major financial firm is seeking a Commissions Analyst for a remote position based in Holmdel Township, NJ. The ideal candidate should... ...10 years of experience in financial services, particularly in Broker Dealer firms, and strong MS Excel skills. Responsibilities include...Remote jobWork at office
- InvestX Capital Ltd. seeks a driven National Accounts Associate to grow the U.S. Broker Dealer distribution channel. You will research target firms, identify key contacts, execute outbound campaigns, secure meetings, and move opportunities through the pipeline. Role involves...Remote job
- BNY Mellon in New York, NY, seeks a Senior Vice President, Segment Marketing to lead the Banks & Broker Dealers marketing strategy on a global scale. You will shape segment positioning, develop go-to-market plans, and partner with senior stakeholders across regions to...
- StoneX Group Inc. is seeking a broker-dealer designated principal email review professional to join Institutional operations. You will review... ...email communications and monitor social media to ensure compliance across the firm. The role requires 2 years of broker-dealer supervision...
- ## Broker Dealer Ops Analyst 2Applyremote type: Officelocations: Columbus, OHtime type: Full timeposted on: Posted Todayjob requisition id... ...connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our...Remote workFull timeH1bWork at officeWork from homeFlexible hours
- Barclays in Whippany, NJ is seeking a Broker Dealer Regulatory Reporting Analyst to support daily net capital computations and ensure compliance with U.S. broker-dealer regulatory requirements. You will prepare and submit mandatory reports to FINRA, SEC, CFTC, and CME,...
- Principal Global Investors seeks a BD Customer Experience Specialist I to support financial professionals and clients in the Broker Dealer Services space. You will help ensure information is complete, precise, and communicated across systems and processes. The role covers...Remote job
$23 per hour
Commissions Analyst Broker Dealer Experience My name is Bill Stevens, and I have two new twelve month plus Commissions Analyst opportunities... ...you so please feel free to call me. The work schedule will be remote however the ideal candidate must live within a reasonable...Remote workHourly payFull timeContract workWork experience placementWork at office- Armstrong Securities LLC Broker-Dealer Executive - Operations & Regulatory Oversight (Part-Time... ...Ellington senior management, Finance, Compliance, Legal, Operations, as well as external... ...) Flexible work schedule Hybrid or remote work arrangement available Occasional...Remote workPart time10 hours per weekFlexible hours
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA... ...to assess accuracy, completeness, and compliance with regulatory instructions and industry... ...President Operations, 2 Hour Learning (Remote) - $400,000/year USD Vice President,...Remote workFull timeWork at office$200k - $240k
...ecosystem, particularly across Independent Broker Dealers (IBD). This role will understand the... ..., with a focus on scalability, compliance, and operational efficiency. Identify... ...Thursday, with the flexibility to work remotely on Friday. iCapital is proud to be an Equal...Remote workFull timeWork at office$99.4k - $142k
...Senior Associate, Trading Operations (Broker Dealer) This role is required to be in person... ...for trading eligibility Partner with Compliance, Finance, Product and Engineering teams... ...collaboration with the flexibility of remote work. Expectations may vary by location...Remote workWork at officeFlexible hours- ...Broadridge team. As the Head of Product Management for our Bank Broker Dealer business, you will create the product strategy, be responsible... ...to a Broadridge office and given the flexibility to work remote. Responsibilities Leading the BBD product project prioritization...Remote workWork at officeLocal area
- 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 Compliance with managing operations, developing training materials, and liaising...
- Rockefeller Capital Management is seeking a senior Compliance professional to cover the broker-dealer and investment adviser compliance program within the Rockefeller Global Family Office. The role emphasizes independent operation, escalation management, and practical...Work at office
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