Senior Compliance Specialist: FINRA/SEC Registration
ACA Group
ACA Group is seeking a Team Leader for registration processes responsible for guiding candidates through onboarding and maintaining compliance with FINRA and State regulations. The ideal candidate will have a Bachelor’s degree or equivalent experience, and a minimum of five years in a relevant role. This position offers a competitive salary starting from $70,000, inclusive of bonuses, and a comprehensive benefits package including medical, dental, and unique perks like Student Debt Forgiveness. #J-18808-Ljbffr ACA Group
$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$55.03 per hour
...poster from Infosoft, Inc. Job Title: Senior Regulatory Affairs Specialist Pay Rate: $50 to $55.03/HR... ...business unit regulatory teams on registration requirements for new and renewal registrations... ...in United States . Regulatory Compliance and Contracts Administrator (...SeniorFull timeWork at officeRemote work$120k - $175k
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- ...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
$110k - $115k
...Description Job Description Senior International Regulatory Affairs Specialist Company Description Butterfly... ...regulatory submissions and registrations across APAC, MEA, LATAM, and MDSAP... ...global market access Ensure compliance with global regulatory frameworks...SeniorWork at officeImmediate startWork visaFlexible hours2 days per week- Compliance Professional We are a fast-growing, mission-driven company powering the expansion of financial services and wealth... ...and business partners Oversee individual and firm registrations with FINRA and the SEC Assist with obligations as it pertains to "Access Persons...
$100k - $115k
Digital Insurance LLC seeks a compliance professional to ensure accuracy and adherence in advertising and social media. You will collaborate... ...against industry standards, maintaining compliance with SEC and FINRA regulations. Applicants should have a Bachelor’s degree and...- ...Job Description Optima Partners is looking for a Compliance Associate / Senior Compliance Associate in it's New York Office to assist... ...and relationship management Familiarity with various SEC, CFTC/NFA, FINRA rules and compliance policies, procedures and materials...SeniorWork at officeImmediate startShift work
$140k - $165k
...are high, and so are the rewards. The Compliance team at Robinhood Securities, LLC (... ...risk. As a Compliance Communications Senior Specialist, you will be the cornerstone of our... ...customer‑facing content meets firm policy, SEC rules, FINRA regulations and other regulatory...SeniorWork at officeFlexible hoursShift work3 days per week- ...Financial Reporting and Accounting expert to join our Performance Excellence team. This role focuses on corporate financial reporting and SEC disclosure workflows, contributing to customer engagement and product strategy. The ideal candidate will have 5+ years of experience...
$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$120k - $155k
...A leading financial technology company is seeking an OFAC Compliance Officer in New York. You will provide expert legal guidance on US sanctions, conduct enhanced due diligence, and ensure compliance with US regulatory requirements. The ideal candidate has over 5 years...Senior- ...Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing hedge fund focused looking to hire a Senior Compliance... ...risk assessments, and policy updates Support preparation for SEC exams, investor diligence requests, and internal audits Help maintain...SeniorWork at officeWork from home
$180k - $200k
...Veritone, Inc. is seeking a Sr. Manager of SEC Reporting in the United States. This role requires leading the SEC reporting process, preparing, and filing financial documents, and ensuring compliance with accounting guidance. The ideal candidate will have a Bachelor's...Senior- ...Warehousing/Distribution Services. Buckland strives to provide customized services in a memorable way. Buckland is looking for a Compliance Team Leader - Classification (LCB) (Eligible applicants must reside in the following USA States - MI, TX, SC, NM, AZ, NH, GA, OH,...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- ...insurance finance organization is seeking a Senior Accountant in New Jersey. The ideal... ...experience in financial accounting, expertise in SEC reporting, and strong knowledge of GAAP.... ...monthly close activities, and ensuring compliance with regulatory requirements. The...Senior
$67.7k - $115.1k
...Health Commercial LLC in Pennsylvania is seeking a candidate to handle safety reporting tasks, collaborate with teams, and ensure compliance with regulations. You'll prepare safety reports, maintain tracking of submissions, and support project activities. The role...Senior$102k - $171.5k
...Senior Vice President, Compliance Officer Location: Jersey City, NJ, United States Job Description We are seeking... ...managing compliance programs for a FINRA broker dealer. Qualifications... ...financial industry rules and regulations (SEC & FINRA) and a solid understanding of...SeniorFlexible hours$102k - $171.5k
Senior Compliance Officer At BNY, our culture allows us to run our company better and enables employees... ...managing the compliance programs for a FINRA broker dealer. To be successful in... ...industry rules and regulations (SEC & FINRA). Solid understanding of compliance...SeniorTemporary workWorldwideFlexible hours- ...motivated individual to join our team as a Senior Fixed Income Compliance Officer. In this role the individual will... ...: Exchange Act rules, MSRB rules, FINRA fixed‑income obligations, Regulation M, Rule 144, Rule 10b‑5, SEC/FINRA reporting rules, and market abuse regimes...Senior
$47.5k - $65k
Protective is seeking a Reinsurance Administration Sr. Specialist to support accounting and compliance activities of the reinsurance program. The successful candidate will coordinate reinsurance agreements, maintain accurate records, and work with internal and external...Senior- A technology company based in New York is seeking a Senior Manager of Financial Reporting and Technical Accounting. This hybrid role requires leading SEC reporting and technical accounting functions, ensuring timely and accurate filings. The position demands over 10 years...Senior
- LifeMD, Inc. is seeking a Senior Manager of SEC Reporting & Technical Accounting in New York. This role involves managing the preparation and filing of the company's SEC reports and providing authoritative guidance on complex accounting matters. The ideal candidate will...Senior
$175k - $200k
...requirements. Develop, maintain, and enhance compliance policies and written supervisory... ...maintain trusted advisory relationships with senior business leaders, serving as a... ...requirements. Comprehensive understanding of SEC and FINRA rules and procedures and practical...Senior$180k - $200k
Veritone is seeking a Sr. Manager of SEC Reporting in the United States to oversee the external reporting and accounting research functions. This role involves managing SEC filings, ensuring compliance with accounting guidance, and coordinating with the Audit Committee...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
$100k - $150k
...Senior Compliance Analyst/Compliance Counsel Seeking a detail oriented Senior Compliance Analyst/Compliance Counsel for a newly created position... ...Form ADV Parts 1 and 2, Form PF, and other filings Support SEC examinations and regulatory enquiries, including document...SeniorWork at office- ...rapid growth across global markets, we need an execution-focused senior compliance leader to strengthen regulatory engagement discipline, drive... ...point of contact for U.S. regulatory bodies (NYDFS, FinCEN, SEC, CFTC, state regulators) and be ready to step in on global matters...SeniorLocal areaWorldwideFlexible hoursShift work
$64.07k - $99.79k
The Senior Compliance Reporting Specialist will be responsible for ensuring compliance with the Physician Payments Sunshine Act by accurately compiling, reviewing, and submitting reports on payments and other transfers of value to healthcare professionals (HCPs) and teaching...SeniorFull timeWork experience placementImmediate startRemote work
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