Broker-Dealer Compliance Lead, US (FINRA/SEC) - Hybrid/Remote
$230k - $280kCrypto.com
- Remote job
Crypto.com is seeking an experienced professional to oversee US Broker-Dealer compliance operations in Manchester, NH. The role involves managing compliance activities, preparing regulatory filings, and serving as the primary contact for audits. Candidates should have Broker-Dealer compliance experience and hold Series 7 and 24 registrations. The position offers a competitive salary between $230,000 - $280,000 per year, along with benefits such as a 401(k) plan, flexible work options, and an inclusive work culture. #J-18808-Ljbffr Crypto.com
$92k - $100k
Job Family Regulatory Compliance About Us At Transamerica, hard... ...rules, and applicable FINRA licensing. (Series 7,... ...Conditions: This is a hybrid position requiring three... ...(in-office, hybrid, remote) and operational needs... ...best lives. As a leading global investor and employer...Remote workFull timeContract workWork at officeWorldwideRelocation package$230k - $280k
...professional to oversee our US Broker-Dealer compliance operations. This role is... ...working closely with our FINRA-licensed entity to ensure... ...execution reviews, including SEC Rule 605/606 reporting... ...Adoption. Flexi‑work hour and hybrid or remote set‑up Aspire career...Remote workWork at office- 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... ...experience and be well-versed in FINRA and SEC rules. The position offers a...Suggested
$97.9k - $146.8k
...Financial Group Job Title: Lead Compliance, Broker / Dealer Location: Boca Raton, FL (hybrid) Who We Are: At Mutual... ...Bachelor’s degree ~ Knowledge of FINRA and SEC rules applicable to broker/... ...America. You can also follow us on Twitter: @mutualofamerica...SuggestedWork at office- ...Regulatory Reporting Manager (Broker Dealer) in St. Louis, Missouri... ...entities, ensuring compliance with SEC and FINRA requirements. The manager leads a team of analysts,... ...financial accounting. A hybrid schedule is offered, requiring... ...3 or more days a week. #J-18808-Ljbffr Us BankSuggestedWork at office3 days per week
- US Bank is seeking a Regulatory Reporting Manager in Charlotte... ...of regulatory filings for broker dealer entities. You will lead a team, ensuring compliance with SEC and FINRA requirements while driving process... ...leadership capabilities. A hybrid schedule is offered, along...
$86.36k - $101.6k
...and have 5-8 years of relevant experience. This role supports a hybrid work schedule, requiring in-office attendance 3+ days per week. The... ...range of $86,360 to $101,600 along with comprehensive benefits including healthcare and retirement plans. #J-18808-Ljbffr Us BankWork at office3 days per week$40 - $60 per hour
...seeking an additional Compliance Officer to join... ...to client broker-dealers, including establishing... ...experience and hold active FINRA Series 7 & 24... ...to satisfy FINRA, SEC, state and federal... ...We offer a fully remote work environment... ...background allows us to approach our work...Remote workHourly payFlexible hours- ...corporate offices. Position Sr. Compliance Analyst, Broker/Dealer – key contributor to the... ...Understanding of FINRA rule 4530 and its application... ...function with concentrations in SEC‑registered investment adviser... ...employment. Please contact us to request accommodation....Remote workTemporary work
$81.1k - $121.7k
...Legal Department is hiring a Sr. Compliance Analyst, Broker/Dealer to be a key contributor on the Broker... ...extensive knowledge and expertise with SEC, FINRA, SEC 1940 Act, State, ERISA, DOL,... ...Ability to work in Central or Eastern US Time Zone Business Hours Experience...Remote workFull timeTemporary workWork experience placementWork at officeWork from home$66k - $95k
...Broker Dealer Compliance Team Member The Broker Dealer (BD) Compliance... ...experience ~ FINRA Series 7 & 24... ...understanding of FINRA, SEC, and state regulatory... .... #LI-Hybrid About Us About Us What... ...Group® ("Cetera") is a leading network of independent...Full timeWork at officeFlexible hoursShift work$156.17k - $192.61k
...Compliance Lead, Broker-Dealer & Investment Adviser Denver, CO; San Francisco, CA; New York, NY... ...documented thoroughly, and defensible under SEC and FINRA scrutiny. This is not a policy-only... .... This includes non-office days for hybrid employees. Our customers come...Full timeWork at officeLocal area2 days per week3 days per week- ...involves overseeing regulatory filings for broker-dealer entities, managing a team, and ensuring compliance with SEC and FINRA regulations. Candidates should have a Bachelor... .... This position offers the flexibility of a hybrid work schedule and comprehensive benefits...
$40 - $60 per hour
...seeking an additional Compliance Officer to join our team... ...services to client broker-dealers, including establishing... ...experience and hold active FINRA Series 7 & 24 licenses... ...to satisfy FINRA, SEC, state and federal... ...dealers. We offer a fully remote work environment with...Remote workHourly payFlexible hours- ...manage post-trade currency transactions and ensure compliance and timely settlement. You will oversee FX payments... ...relevant experience and a strong understanding of international payments. This hybrid position allows remote work within the US. #J-18808-Ljbffr UMB BankRemote work
- ...in Raleigh, NC, is seeking a Manager BSA Compliance to lead day-to-day operations of BSA processes... ...activity monitoring and compliance tasks. This hybrid role requires strong analytical skills,... ...and organizational skills. Join us to help maintain our commitment to compliance...Remote job
- ...transactions ensuring accurate settlements and compliance. The hybrid role offers onsite work Monday through Thursday and remote work on Fridays for candidates in the Kansas... ...and is open to remote candidates throughout the US. Key qualifications include 5+ years of...Remote workMonday to Thursday
- Raymond James is seeking a compliance expert for a hybrid role in St. Petersburg, FL, with a focus on retail equities and options trading within... ...advisory and oversight, ensuring adherence to SEC and FINRA regulations. The ideal candidate will have at least 8 years...Remote job
- A leading financial institution in Dallas is seeking a Manager for U.S. Broker Dealer Regulatory Reporting. This role involves preparing regulatory calculations, ensuring compliance with SEC regulations, and collaborating with various teams. The ideal candidate will hold...
- ...sciences company is seeking a Brand Insights - US Chapter Lead to guide insights in decision-making.... ...leadership and communication skills. A hybrid work model is offered, balancing office presence in Northbrook, Illinois with remote work opportunities. Join us and impact...Remote workWork at office
- ...payroll cycle using Oracle HCM Cloud, ensuring compliance with payroll regulations while... ...payroll management. This role is based in the US with travel requirements to meet client needs... ...package along with a flexible hybrid work environment. #J-18808-Ljbffr Ernst...Remote jobFlexible hours
$66k - $95k
The Broker Dealer (BD) Compliance team is responsible for ensuring that... ...experience FINRA Series 7 & 24 required... ...understanding of FINRA, SEC, and state regulatory... ...considerations. #LI-Hybrid About Us About Us What we... ...Group® ("Cetera") is a leading network of...Full timeWork at officeFlexible hoursShift work$240.94k - $291.96k
...Working with Us Challenging. Meaningful. Life... ...Director, US Regulatory Lead, GRS Position Summary... ...and ensuring compliance with FDA commitments and... ...centers. Employees in remote-by-design or lab-based... ...may be eligible for a hybrid work model with at least...Remote workHourly payFull timeTemporary workPart timeFor contractorsSummer workLive inWork at officeLocal areaFlexible hoursShift work- ...have the opportunity for a hybrid schedule (combination of in-office and remote workplace) . **Please... ...made. In addition to work lead responsibilities, this... ...needed to ensure contract compliance and risk mitigation or... ...****@*****.***.us ), postmarked in US Mail...Remote workContract workTemporary workPart timeFor contractorsWork experience placementWork at officeLocal areaVisa sponsorship
- Gusto is seeking a Compliance Lead for its Retirement Compliance Team in San Francisco. This... ...Registered Investment Adviser and Broker-Dealer entities, ensuring frameworks and controls... ...experience, strong knowledge of FINRA and SEC rules, and excellent written communication...
$120.8k - $169.1k
...We are currently looking for a Lead Merchant Risk Analyst in the... ...functionally with Data Science, Product, Compliance, and Engineering, you will... ...organization Flexible, remote-first work environment across... ...about how your data is processed, please contact us....Remote jobFull timeFlexible hours$135k - $160k
...Betterment Betterment is a leading, technology‑driven... ...in NYC and offer hybrid NY‑based positions... ...Betterment’s broker‑dealer entity that safeguards... ...to maintain compliance with relevant FINRA and SEC financial responsibility... ...average, it takes us around 3-5 weeks to...Temporary workWork at officeLocal areaMonday to ThursdayFlexible hours$183.55k - $230.31k
...Director, US Commercial Risk Evaluation and Mitigation Strategies (REMS) Lead At Agios, we are fueled by connections to... ...REMS activities to support compliance, patient safety, and effective... ...the ability to be either remote in the US or hybrid in our Cambridge...Remote workTemporary workWork from homeFlexible hours3 days per week- ...PIMCO is seeking a Compliance Officer to join its Legal and Compliance Department. This role will handle broker-dealer compliance responsibilities, including overseeing the Licensing... ...communication skills, and familiarity with FINRA registration systems. The role requires...
- A leading fashion retailer in West Hollywood is hiring a Merchant of Handbags & Footwear. The position involves... ...analytical background, and advanced Excel skills. This hybrid role allows for a mix of in-office and remote work, offering competitive benefits including a...Remote workWork at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Broker-Dealer Compliance Lead, US (FINRA/SEC) - Hybrid/Remote. Be the first to apply!
- remote broker Manchester, NH
- managing broker Manchester, NH
- transportation broker Manchester, NH
- energy broker Manchester, NH
- business broker Manchester, NH
- logistics broker Manchester, NH
- sales broker Manchester, NH
- remote sales consultant Manchester, NH
- customer service associate remote Manchester, NH
- remote sales jobs Manchester, NH



