Senior RIA Compliance Associate — Remote + Equity
Fruitful
- Remote job
Fruitful is seeking a nimble Senior RIA Compliance Associate to support development of a best-in-class compliance program. You will review communications, provide regulatory guidance, and collaborate with cross-functional teams to enhance processes, training, and assessments. You will help manage risk, perform compliance testing, and support regulatory filings. A fintech-leaning, AI-forward approach is valued. #J-18808-Ljbffr Fruitful
- ...Frec Markets, Inc. is seeking a second Chief Compliance Officer to join a fast-growing fintech, scaling regulatory programs for its broker-dealer or RIA entity. You will co-lead with the existing CCO, building processes that scale with two dedicated leaders while maintaining...Remote jobEmployment EquitySenior
- Gridline is seeking a Director, RIA Partnerships to oversee revenue growth within the RIA market on the West Coast. This role demands... ...position offers a high degree of autonomy, competitive salary, equity, and flexible PTO, contributing to revolutionizing private market...Remote jobEmployment EquitySeniorFlexible hours
$65k - $92.5k
...Location Designation: Fully Remote Eagle Strategies LLC... ...collaboration, and diversity, equity and inclusion. We want employees... ...legacy. Role Overview The RIA Specialist will become... ...requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting...Remote workEmployment EquitySeniorTemporary workWork at officeLocal area$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker... .... Contribute to the compliance program — account-... ...or New York. Exceptional remote candidates are encouraged... ...and location Meaningful equity — we want you to own a piece...Remote workEmployment EquitySeniorPermanent employmentFlexible hours- ...To ensure robust compliance across trading operations, the full-time Senior Compliance Officer will manage advisory compliance... ...Officers while working remotely. Key responsibilities Provide real... ...classes, including commodities, equities, and derivatives Familiarity with...Remote workEmployment EquitySeniorFull time
$175k
Reference: 13578Senior Compliance Officer, Investec... ...affiliates with a focus on equity markets.Advise on U.S.... ...a trusted advisor to senior stakeholders, delivering... ...to the Compliance Associate, fostering strong performance... ...office and one day remote. We believe that being...Remote workEmployment EquitySeniorFull timeWork at office$88 per hour
...Senior Compliance Officer Equity Research Compliance BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution... ...NYC Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may be considered for the right candidate...Remote workEmployment EquitySeniorContract workImmediate start- ...Description JOB DESCRIPTION: The Senior Research Compliance Specialist ensures institutional compliance... .... Emory reserves the right to change remote work status with notice to employee.... ...to the Emory University Department of Equity and Civil Rights Compliance, 201 Dowman...Remote workEmployment EquitySeniorWork from homeFlexible hours
$125k - $175k
...asset, SMA, and ETF solutions. As Senior Investment Consultant -... ...are able to accommodate a fully-remote work schedule. This is a field... ...independent financial advisors and RIAs through proactive outreach,... ...of private credit, private equity, private real estate, infrastructure...Remote workEmployment EquitySeniorFull timeWork at officeFlexible hours- ...Description JOB DESCRIPTION: The Senior IT GRC (Governance, Risk, and Compliance) Analyst oversees technical design... ...reserves the right to change remote work status with notice to employee... ...the Emory University Department of Equity and Civil Rights Compliance, 201 Dowman...Remote workEmployment EquitySeniorWork experience placementWork from homeFlexible hours
$82.9k
...the Role, Line of Business and Team: The Compliance Department is responsible for the... ...or certificates are properly issued.The Senior Compliance Analyst should be comfortable... ...disparities and complying with applicable pay equity laws. Salary ranges are available for all...Remote workEmployment EquitySeniorTemporary workWork experience placementWork at office$120k - $140k
...CPAs and Advisors is seeking a Senior Regulatory Consultant to... ...development, and regulatory compliance guidance. In this role,... ...of our local offices or fully remote in the following states: AZ,... ...education, location, and internal equity. You may also be eligible to...Remote workEmployment EquitySenior16 hoursFull timeLocal areaFlexible hours- ...space for authenticity, growth, and equity for everyone.Location: Southfield, MI... ...Security team, the IS GRC Senior Analyst - Risk & Compliance will be responsible for understanding... ...to work full time in an office and remote environment; physically able to sit/...Remote workEmployment EquitySeniorFull timeContract workWork experience placementH1bVisa sponsorshipRelocation packageMonday to Friday
$85k - $109k
...Senior Compliance Analyst Work From Home - USA We are looking for an experienced Senior Compliance Analyst to join our Compliance and... ...Statement: Convera is committed to pay transparency and equity in accordance with applicable U.S. state and local laws. For...Remote workEmployment EquitySeniorLocal areaWork from home$82k - $131.5k
...Affairs Manager, the Senior Regulatory Affairs Specialist... ..., and ongoing compliance with independence and... ...Staff Work Model Remote Background Check Requirements... ...positions have associated health requirements... ...Office of Institutional Equity and Accessibility (...Remote workEmployment EquitySeniorFull timeInterim roleWork at officeLocal area- ...and out of the office. We are seeking a Senior Regulatory Affairs Specialist to support... ...offer: ~ Competitive salary and equity packages ~ Health, dental, vision insurance... ...as ŌURA recruiters, especially for remote roles. Please note: Our jobs are...Remote workEmployment EquitySeniorWork at officeLocal areaFlexible hours
$54.67k - $66k
...purpose. The role The Senior Credentialing Specialist plays... ...specified, this position is remote (work from home). Candidates... ...certification renewals, and ensure compliance with regulatory and internal... ...family life, diversity, equity, and inclusion. We may use...Remote workEmployment EquitySeniorFull timeWork from home$109k - $135k
...Horizon3 is a fast-growing, remote cybersecurity company dedicated... ...Do We are seeking a skilled Senior Compliance Analyst with strong... ...vendors, subprocessors, and associated risk assessments. Customer... ...time roles are eligible for an equity package in the form of stock...Remote workEmployment EquitySeniorFull timeContract workWork at officeFlexible hours$59k - $94.5k
...and a broad range of equity, fixed income, and multi... ...our clients and our associates is good business. With... ...Global Investment Compliance (GIO) is a global team... ...under the direction of senior associates or managers... ...Colorado, Washington and remote workers $61,000.00 -...Remote workEmployment EquityFull timeWork experience placementLocal area1 day per week$105k
...ID # 174003 Job Category: Compliance / Risk / Quality Assurance... ...Compliance and Risk Consultant, Senior role serves as a recognized subject... ...is hybrid, working from your remote office and your assigned work... ...but not limited to, internal equity, specific skills, education,...Remote workEmployment EquitySeniorFull timeFlexible hours$150k - $200k
...Overview We're hiring a GRC Senior Analyst to help build the compliance foundation powering the future of global... ...commission (if applicable), equity, and benefits. The pay range represents... ...making with the flexibility to work remotely. We believe this structure supports...Remote workEmployment EquitySeniorFull timeWork at office2 days per week- Location: Primarily Remote (One-time onsite training and occasional visits in Indianapolis... ...subgrantees and contractors. Determine compliance with federal and state insurance... ...working on other BEAD-related (Broadband Equity, Access, and Deployment) projects to be...Remote workEmployment EquitySeniorContract workPart timeFor contractorsWork at officeFlexible hours
$85k - $115k
...next steps. Our partner is looking for a Senior Compliance & QA Specialist based in United States.... ..., skills, geography, and internal equity. ~ Equity compensation as part of the... ...medical, dental, and vision. ~ Flexible remote work arrangements and access to coworking...Remote workEmployment EquitySeniorFull timeWork at officeWork from homeHome officeFlexible hours$58k - $222k
...steps. Our partner is looking for a Senior Governance, Risk, & Compliance Analyst based in the United States.... ...valued. ~ Ability to participate in remote video interviews with cameras on;... ...incentive compensation. ~ New-hire equity grants. ~ Comprehensive benefits package...Remote workEmployment EquitySeniorFull timeFlexible hours- ...guided by principles of equity, diversity, and... ...NYC BEST and supervise Compliance Advisors to deliver comprehensive... ...partners, business associations, and other City... ...delivery. Coordinate with senior management to maximize... ...may be eligible for remote work up to 2 days per...Remote workEmployment EquitySeniorFull timeRelocationWeekend workAfternoon shift2 days per week
- ...in $150+ billion of private equity healthcare transactions. As... ...50 states, we're seeking a Senior Compliance Analyst to ensure our legal... ...Services Agreements, and Business Associate Agreements for compliance... ...services Work-Life Balance: Fully remote position (work from anywhere...Remote workEmployment EquitySeniorFlexible hours
- Senior Governance, Risk, Compliance (GRC) Analyst job at Oura. New York, NY. At Oura, our mission is to empower... ...our community every day. This is a remote U.S. role with a strong preference... ...we offer: Competitive salary and equity packages Health, dental, vision insurance...Remote workEmployment EquitySeniorWork at officeLocal areaFlexible hours
$52k - $94k
...seeking a detail oriented, dependable, Senior Payroll Tax & Compliance Specialist with excellent analytical... ..., and abilities, as well as internal equity, alignment with market data,... ...histories consistent with relevant laws. #Remote REQNUMBER: R-00187804 All qualified...Remote workEmployment EquitySeniorLocal areaImmediate start$100k - $130k
...permettant l’identification.Sr. Compliance Officer - Monitoring & Testing (Associate), TD Securities (US)... ...), TD Securities (US)remote type: Hybridelocations:... ...Preferred Qualifications:**This Senior Compliance Officer is a... ...to a premier U.S. equities business and highly-...Remote workEmployment EquitySeniorTemporary workWork experience placementWork from homeFlexible hours- ...professional who can operate independently at a Senior Manager or Director level. The position... ...is the preferred location; qualified remote candidates may also be considered.... ...knowledge of financial instruments, including equities, fixed income products, and derivatives....Remote workEmployment EquitySeniorFull timeContract workWork at office
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