Senior Compliance Specialist: FINRA/SEC Registration
ACA Group
ACA Group is seeking a qualified professional to ensure compliance with registration processes for representatives in the financial services industry. This role includes oversight of internal employees and assisting candidates with onboarding and registration requirements. With a bachelor's degree or equivalent experience, candidates should possess a minimum of five years of related experience and strong skills in communication and analysis. Team members benefit from a competitive compensation package including health coverage, flexible hours, and unique benefits like Student Debt Forgiveness. #J-18808-Ljbffr ACA Group
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- ...Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory... ...a 15a‑6 broker‑dealer, specialist lending desks, and global affiliates... ...S. securities regulations (SEC, FINRA) and broker‑dealer... ...employee oversight. Support the registration and licensing function....SeniorWork at office
- Madison-Davis, LLC is seeking a Senior Equities Compliance Officer to provide regulatory advisory support within its equities trading and sales... ...second line of defense, focusing on U.S. securities laws and SEC/FINRA requirements while aiding business initiatives. Key...Senior
$125k - $175k
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Senior Compliance Associate, Registered Funds (New York, NY): Our client, a leading diversified... ...to serve as the firm’s primary specialist on registered fund compliance with visibility... ...with regulatory filings, including registration statements, Form ADV, shareholder reports...Senior$150k - $180k
A global financial services provider in New York seeks a Senior Compliance Officer - FCM Advisor to provide compliance advisory services, ensuring adherence to SEC, FINRA, and CFTC regulations. The role requires excellent communication, analytical skills, and a Bachelor...Senior$40.91 - $52.91 per hour
...passionate interest in fighting cancer. The Senior Associate plans, tracks, and executes U... ...delivered accurately, on time, and in compliance with FDA requirements. The role assumes... ...as required for investigation and registration of products in the U.S. and abroad. Demonstrate...SeniorHourly payWork at officeLocal areaFlexible hours- ...support Brand Partners across all 50 states, we're seeking a Senior Compliance Analyst to ensure our legal framework remains bulletproof... ...physician licensing and credentialing processes Track DEA registrations for controlled substance prescribing authority Monitor medical...SeniorRemote workFlexible hours
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Senior International Regulatory Affairs Specialist Job Description As a Senior Specialist, International Regulatory... ...international regulatory submissions and registrations across APAC, MEA, LATAM, and... ...global market access Ensure compliance with global regulatory...SeniorWork at officeWork visaFlexible hours2 days per week$70k
...responsible for processing initial and ongoing registration requirements for registered... ...various registration requirements pursuant to FINRA, State and ACA Foreside policy Prepare background... ...Knowledge and understanding of FINRA, SEC and State rules and regulations and...Work experience placementSummer workWork at officeFlexible hours- ...trading firm is looking for an experienced, Senior Compiance Officer to join their growing... ...teams, ensuring a strong culture of compliance across the firm. This role will require... ...and market structure Knowledge of SEC and FINRA regulations, Regulation NMS, Regulation...Senior
$102k - $171.5k
...exceptional professionals for this role. Senior Compliance Officer At BNY, our culture allows us... ...managing the compliance programs for a FINRA broker dealer. To be successful in... ...financial industry rules and regulations (SEC & FINRA). Solid understanding of...SeniorTemporary workWorldwideFlexible hours$40 - $60 per hour
...A leading compliance firm is looking for a Sr. Business Process Management Specialist for a remote role. You will oversee compliance programs and ensure alignment with regulatory requirements. The ideal candidate has a Bachelor's Degree and at least 5 years of experience...SeniorHourly payContract workRemote work- .... The role will report directly into the CCO and cover Central Compliance function for the firm including Marketing and Advertising Compliance... .... The ideal candidate will have 4+ years of experience at an SEC regulated asset manager or private equity firm or law firm with...SeniorWork at office
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- 6AM City, LLC is seeking a Manager of Financial Reporting & Technical Accounting to lead SEC financial reporting and ensure compliance with U.S. GAAP. The ideal candidate will manage the preparation of external financial reports and collaborate with various stakeholders...Senior
- ...Compliance Associate (New York, NY): Our client, the asset management... ...comprehensive understanding of the SEC Marketing Rule to assist in... ...Job Reference #2979397 Seniority level Seniority level Associate... ...,000.00 1 day ago Compliance Specialist - Leading Global Hedge Fund -...SeniorFull time
- ...The Office of the CCO is an Advisory Compliance function that supports the Americas region... ...financial risk. About the role: The Senior Compliance Officer position assists... ...experience with the regulatory environment (SEC, CFTC/NFA, FINRA, OSC, CSA, and ERISA) is preferred....SeniorFull timePart timeWork at officeFlexible hours
$64.4k - $128.7k
.... This is a hybrid role that has a requirement of working at least three days a week in the office. We are seeking a Senior Compliance Specialist to support on compliance activities, including licensing, monitoring, research, reporting, training, and data analysis for...SeniorMinimum wageWork at officeLocal areaImmediate startRemote workFlexible hours3 days per week1 day per week$84.58k - $142.77k
...Twitter , YouTube and Instagram . Position Summary: We have an exciting opportunity to join our team as a Senior Compliance Specialist. The Senior Compliance Specialist (Hospital Billing Auditor) will support the Manager of Hospital Billing Compliance...SeniorWork at officeLocal area- ...quant trading firm based in New York, is seeking an experienced Senior Compliance Officer to ensure compliance with regulatory requirements.... ...position demands strong understanding of equities products and SEC regulations, with onsite work expected. #J-18808-Ljbffr Larson...Senior
$75k - $80k
Planned Parenthood Federation of America Inc. is seeking a Senior Specialist, Grants and Best Practices to enhance the efficiency of grant... ...processes. This role involves administrative support, maintaining compliance, and facilitating collaboration across teams, while...Senior- Kedrion Biopharma Inc. in Fort Lee, New Jersey, seeks an Ethics & Compliance Specialist/Sr. Specialist to drive compliance with ethical business practices. This role encompasses managing global compliance initiatives, ensuring alignment with regulatory obligations, and...Senior
- Keysight Technologies SAles Spain SL. is looking for an experienced Export Compliance Senior Specialist to manage export licensing requirements and provide regulatory guidance. This remote position involves collaborating across teams to ensure compliance with U.S. export...SeniorRemote job
$20 per hour
Sedgwick is seeking a Sr. Medicare Associate in New York City to gather and upload documentation necessary for Medicare compliance. The role requires strong analytical skills and proficiency in Microsoft Office products. Candidates should have at least one year of general...SeniorHourly payWork at office- L.J.Gonzer Associates is seeking an Environmental Health and Safety (EHS) Specialist in New York. In this role, you will oversee EHS compliance, develop training programs, and ensure workplace safety. Responsibilities include conducting inspections, maintaining safety records...Senior
$100k - $124.95k
AES Corporation is seeking a Compliance Business Partner to support AES Operations & Planning (O&P) Compliance. In this role, you will ensure compliance with NERC Reliability Standards while leading implementation strategies and preparing for audits. The successful candidate...SeniorWork experience placement- Lockheed Martin is looking for an experienced International Trade Compliance professional to serve as an Export Control Coordinator in New York. This role requires expertise in ITAR and EAR, as well as responsibilities including managing export/import authorizations and...Senior
- The Nebraska State Historical Society is looking for a Review and Compliance Coordinator to oversee federal project reviews for compliance with historic preservation laws. This role requires a Master's degree in a related field along with strong interpersonal and communication...Senior
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