Senior Compliance Analyst - Broker/Dealer (Remote)
CNO Financial Group, Inc
- Remote job
CNO 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 include investigating customer complaints, monitoring business practices, and communicating compliance changes. Candidates must possess strong analytical and communication skills, relevant certifications, and a Bachelor's degree or equivalent experience. #J-18808-Ljbffr CNO Financial Group, Inc
$81.1k - $121.7k
...CNO Financial Group’s Legal Department is hiring a Sr. Compliance Analyst, Broker/Dealer to be a key contributor on the Broker/Dealer Compliance... ...exchanges. Because of the experience necessary to fulfil the Senior Compliance Analyst role, a broad degree of latitude in...Remote workSeniorFull timeTemporary workWork experience placementWork at officeWork from home- ...available to travel to corporate offices. Position Sr. Compliance Analyst, Broker/Dealer - key contributor to the Broker/Dealer Compliance team, responsible... .... Identify and escalates potential issues to senior management as directed. Conduct in-depth surveillance of...Remote jobSeniorTemporary work
- ...Inc is searching for a performance-driven Sales Executive in a remote role to engage with high-value advisory clients. The ideal... ...will have experience in B2B consultative selling or be a former broker-dealer professional with strong knowledge of regulatory frameworks. Responsibilities...Remote jobSenior
$65k - $75k
...practices.* Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.* Research, analyze... ...experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the...Remote workContract work$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 with a company culture...Remote jobHourly payFlexible hours$200k - $300k
Chief Regulatory Officer - FinTech / Broker-Dealer Compliance job at Mangrum Career Solutions LLC. San Francisco, CA. Pay: $200,000.00 - $300,... ...FinTech company revolutionizing the securities industry. ~100% remote – work from anywhere in the U.S. while collaborating with...Remote workFull timeFlexible hours$111.61k - $131.3k
...Senior Financial Analyst We are seeking a Senior Financial Analyst to join the Global Capital Markets (GCM) Finance team supporting the Institutional Broker Dealer. This role is a key partner in legal entity forecasting, balance sheet management, and capital oversight...Remote workSeniorTemporary workWork experience placementWork at officeFlexible hours3 days per week$70k - $85k
...Description Job Description Company Overview Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services... ...technology. This is a hybrid role (4 days in the office / 1 day remote). Responsibilities: Conduct thorough investigations and...Remote workSeniorWork experience placementWork at office- ...expertise P osition Overview The Senior Trade Compliance Analyst is responsible for managing trade... ...third party Freight Forwarders/Customs Brokers. Lead all aspects of Formerra... ...Setting: Hybrid : A mix of office and remote work. Work Conditions: Work...Remote workSeniorContract workWork at officeWorldwideVisa sponsorshipWork visa
- ...Lincoln Financial Group is looking for an experienced Compliance Specialist in Sacramento, California. The role involves overseeing broker-dealer supervision and ensuring compliance with FINRA requirements while managing high volumes of supervision items. The ideal...Senior
- ...Chester is looking for a Supervisory Principal Consultant to oversee registered representatives in a broker-dealer environment. This role is critical in ensuring compliance with FINRA regulations, monitoring supervisory activities, and offering guidance to enhance...Senior
- ...supports the daily oversight of registered representatives and focuses on compliance and risk management in a high-volume environment. The ideal candidate will have extensive experience in broker-dealer supervision and obtain necessary FINRA licenses shortly after hire....Senior
- ...Financial Group is seeking a candidate in Buffalo, NY, to oversee compliance in a high-volume environment. The ideal candidate must have a Bachelor’s degree and 3-5 years of experience in broker-dealer supervision. The position involves monitoring activities for compliance...Senior
$72.9k - $131.6k
...is seeking a qualified candidate for a supervision role. Responsibilities include reviewing non-cash compensation and monitoring compliance with FINRA requirements. The ideal candidate will have 3–5 years of experience in supervision or compliance, along with relevant...Senior- ...involves day-to-day oversight of registered representatives and ensures compliance with FINRA requirements while managing high-volume operations. The ideal candidate has over 4 years of broker-dealer supervision experience, strong communication skills, and will oversee...Senior
$66k - $95k
...Broker Dealer Compliance Team Member The Broker Dealer (BD) Compliance team is responsible for ensuring that the Firm's policies and procedures are applied consistently in the regulatory review of new applicants. Our core function is to evaluate prospective individuals...Full timeWork at officeFlexible hoursShift work- ...and operational execution while aligning with regulatory requirements. The ideal candidate will have 4+ years of experience in broker-dealer supervision, a solid grasp of FINRA requirements, and necessary licensing. Opportunities for leadership development and...Senior
- ...Consultant to oversee the supervision of registered representatives in a wholesale broker-dealer environment. The role includes activities around communications, risk management, and compliance with FINRA requirements. Candidates must have experience in broker-dealer...Senior
- ...Consultant in Sacramento to oversee daily supervision and ensure compliance with FINRA regulations. This role involves high-volume... ...candidate will have a Bachelor’s degree and extensive experience in broker-dealer supervision. Lincoln offers competitive benefits, including...Senior
- ...seeking a Supervisory Principal Consultant to oversee registered representatives in a wholesale broker-dealer environment. This role focuses on high-volume supervision, compliance, and operational execution, ensuring activities align with regulatory requirements. The...Senior
- ...is seeking a Supervisory Principal Consultant to oversee day-to-day activities in a broker-dealer environment in Nashville, TN. This role will focus on high-volume supervision, compliance, and operations, ensuring activities align with regulations and managing risks...Senior
- ...Principal Consultant in Richmond, Virginia to support oversight of registered representatives in a broker-dealer environment. You will monitor communications and ensure compliance with regulatory requirements while assisting the business in maintaining efficient operations....Senior
- ...Broker Dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting team in New York. This role is responsible for broker-dealer regulatory reporting compliance, with a focus on net capital, customer reserve, and FOCUS reporting. The position...Remote work
- ...Supervisory Principal Consultant to support high-volume supervision and risk management within a broker-dealer environment. Key responsibilities include overseeing communication compliance, monitoring non-cash compensation, and providing supervision guidance to financial...Senior
- ...oversee the day‑to‑day operations of registered representatives in a wholesale broker‑dealer environment. This role focuses on high-volume supervision, risk management, and ensuring compliance with regulatory requirements. The ideal candidate will have a Bachelor’s...Senior
- Lincoln Financial in Scottsdale, Arizona is seeking a Supervisory Principal Consultant to supervise day-to-day operations of registered representatives. This role emphasizes high-volume supervision, risk management, and operational execution. Key responsibilities include...Senior
- ...Fort Worth, Texas, to support oversight of registered representatives in a broker-dealer setting. The role emphasizes risk management, supervision of sales engagements, and regulatory compliance while coordinating with compliance teams. Qualified candidates should have...Senior
- ...Legal-US Business Segments and Branch Support team in Tempe, Arizona. This role involves providing legal guidance on broker-dealer operations and compliance, working closely with various teams to navigate complex regulatory issues. The ideal candidate will possess a Juris...SeniorPrivate practice
- ...oversee the day-to-day operations of registered representatives in a broker-dealer setting. This role emphasizes high-volume supervision, risk management, and operational execution, ensuring regulatory compliance. The ideal candidate will hold a Bachelor’s degree and...Senior
$70.6k - $139.8k
Crowe is seeking an Audit Senior Associate in Livingston, NJ, to lead client engagements and mentor teams. The ideal candidate has 2+ years of audit experience, preferably in the Broker Dealer sector, and will build strong client relationships. This role offers growth...Senior
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