Senior Compliance Analyst - Broker/Dealer (Remote)
CNO Financial Group
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
- ...and available to travel to corporate offices. Position Sr. Compliance Analyst, Broker/Dealer – key contributor to the Broker/Dealer Compliance team,... ...communication. Identify and escalates potential issues to senior management as directed. Conduct in-depth surveillance of...Remote workSeniorTemporary work
$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$92k - $100k
...Transamerica Corporation is seeking a Regulatory Compliance Specialist in Cedar Rapids to help mitigate legal exposure and ensure adherence to company and regulatory standards. This hybrid role requires three days in-office and offers competitive compensation, including...SeniorWork at office- ...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$150k - $185k
...Marex, located in New York City, is seeking a Broker-Dealer Compliance Advisor with at least 8 years of compliance experience in the financial industry. The role involves providing compliance advice, reviewing policies, and ensuring adherence to regulatory requirements...Senior$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 workHourly payFlexible hours$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 workHourly payFlexible hours- ...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
$111.61k - $131.3k
...discover what you excel at—all from Day One. Job Description 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...Remote workSeniorFull timeTemporary workWork experience placementWork at officeLocal areaFlexible hours3 days per week$65k - $75k
...Transamerica Corporation in Cedar Rapids is looking for a Compliance Analyst. This role involves mitigating legal exposure by enforcing company policies and regulatory requirements. Key responsibilities include analyzing current practices, developing compliance programs...$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- ...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
$135k - $165k
...Webull Financial is seeking an Associate Director of Compliance in New York to lead compliance efforts in regulatory frameworks including FINRA and SEC. The position requires a strong compliance professional with 5 years of related experience. The role includes drafting...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$200k
A leading advisory firm seeks a Senior Sales Executive in Suffolk County, NY, to drive high-value advisory engagements. The ideal candidate is a disciplined professional with a strong understanding of FINRA/SEC regulations and a proven track record in B2B consultative...SeniorFull time$80k - $232.05k
...Fairygodboss is seeking a Counsel to provide legal advice supporting PNC Wealth Management's broker-dealer operations. The ideal candidate has extensive experience in regulatory matters and is well-versed in SEC and FINRA regulations. This position offers a comprehensive...Senior$230k - $280k
...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...Remote workFlexible hours- ...24 and involves liaising with practices transitioning to the broker dealer home office OSJ direct model, coordinating FINRA filings, and... ...Responsibilities include conducting risk assessments and supporting regulatory compliance. #J-18808-Ljbffr Leeds Professional ResourcesSeniorHome office
- ...ideal candidate will have over 8 years of relevant experience, strong analytical skills, and a deep understanding of credit products and client relationship management. This position may offer remote work options and comprehensive benefits. #J-18808-Ljbffr FairygodbossRemote jobSenior
- ...leading financial services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role... ...-dealer operations, financial reporting, and regulatory compliance with at least 5 years of relevant experience. This position...SeniorWork at office
$66k - $95k
Cetera Financial Group is seeking a Compliance Officer in Dallas, TX, responsible for evaluating new applicants against regulatory standards. Key tasks include conducting background reviews, identifying risk factors, and ensuring compliance with firm policies. The role...Full time$110k - $165k
...Webull Financial is seeking a Senior Accountant to manage the monthly close process and support audit readiness. Responsibilities... ...will have 3-7+ years of relevant experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA reporting...SeniorWork at office- ...CNO Financial Group in Chicago is seeking a Sr. Compliance Analyst for the Broker/Dealer Compliance team. The role focuses on implementing and maintaining the Compliance Program while ensuring adherence to regulatory standards. Candidates should possess strong analytical...Senior
- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting in surveillance of trading activity, updating policies, and handling regulatory reporting...
$66k - $95k
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 against the Firm’s standards, as well...Full timeWork at officeFlexible hoursShift work- ...excellent client relationship management skills. PNC offers a comprehensive benefits package including medical coverage, 401(k) with company match, vacation days, and educational assistance. Applicants may also be eligible for remote work. #J-18808-Ljbffr FairygodbossRemote jobSenior
- PNC is seeking a Commercial Banking Relationship Manager III to manage and grow client relationships based in St. Louis, MO. The role requires strong commercial relationship management and negotiation skills, along with an understanding of credit products and underwriting...Remote jobSenior
$123.75k - $200k
Santander Consumer USA Inc. is seeking a Senior Business Development Officer to prospect for new commercial business and maintain existing... ...customer service, strategic planning, and cross-selling. Remote work flexibility is available. The position offers a competitive...Remote workSeniorContract work- ...team in Washington, D.C. This role requires extensive experience in investment adviser and broker-dealer regulatory matters, with responsibilities including monitoring compliance and providing legal advice regarding new product offerings. The successful candidate will possess...Senior
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