Compliance Analyst I - Learn SEC & FINRA Rules
BTIG
BTIG seeks a motivated and detail-oriented Compliance Analyst to join our Compliance team in San Francisco. This entry-level role is critical in supporting the firm’s Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal candidate is organized, adaptable, eager to learn, and should be a team player. The role offers training to develop regulatory knowledge and professional skills in a collaborative environment. #J-18808-Ljbffr BTIG
$60k - $75k
...seeks a motivated and detail-oriented Compliance Analyst to join our Compliance team. This... ...that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The... ...is organized, adaptable, eager to learn, and should be a team player. Duties...SuggestedFull timeWork at office- ...Overview The Compliance Analyst is primarily responsible for monitoring monthly compliance audits... ...organization’s infrastructure, goals, mission, rules, policies, and guidelines. Proficiency... ...political acumen skills. Ability to learn different systems quickly. Ability to...SuggestedContract workFor contractorsFor subcontractor
$140k - $185k
...job description represents a sample Fund Compliance Analyst position commonly found through the... ...investment fund operations Familiarity with SEC, FINRA, CFTC, or other relevant regulatory... ...regulatory, and fund operations roles To learn more or express interest in fund...SuggestedFull time- Job Description The Compliance Analyst is primarily responsible for monitoring monthly compliance... ...including its infrastructure, goals, mission, rules, policies, guidelines, and internal... ...political‑acumen skills. Ability to learn different systems quickly. Ability to...SuggestedContract workFor contractorsFor subcontractor
$140k - $178k
...truth-finding goals. As a GRCT Analyst, you will independently drive moderately complex trust, compliance, and risk workstreams that... ...Health. Annual allocation for learning and development opportunities... ...you agree to adhere to these rules. Here is our full policy; please...SuggestedLocal areaFlexible hoursShift work$150k - $200k
...global economy. Join us! Overview We're hiring a GRC Senior Analyst to help build the compliance foundation powering the future of global crypto payments... ...all coming standard. If you're energized by building, learning, and shaping something big—this is where you'll want to...Work at officeRemote work2 days per week£100 per hour
...checks are completed in line with Copper’s Compliance Policies in each operating jurisdiction.... ...the cases completed by the Onboarding Analysts; reviewing Customer Due Diligence (CDD)... ...for emotional support. Unmind, Sponsored Learning and Development opportunities. Regular...Work from homeFlexible hours$35k - $48k
...Junior Compliance Officer (Operations, Jr. Analyst)The MIL Corporation seeks a Junior Compliance Officer (Operations, Jr. Analyst) to support a federal law... ..., especially Excel and Word, and ability to learn government case management and database systems.Strong...Full timeContract workFor contractorsWork at officeRemote workWeekend work$136k - $192k
...The opportunity We’re hiring a Compliance Officer to serve as the... ...Altruist Advisors , Altruist’s new SEC‑registered investment adviser.... ...communications under the SEC Marketing Rule. Vendor management - Own... ...way. Familiarity with FINRA rules a plus. Cross‑functional...Work at officeImmediate start3 days per week- OKX is seeking a Compliance professional to lead KYB/CDD activities, reviewing onboarding cases and AML documentation to ensure regulatory alignment. You will verify documents, request CDD/EDD materials, and monitor SLAs while escalating issues when needed. The role requires...
$98.51k - $119.73k
...Test conducted in accordance with CSC Rule 111A . Learn more about the City’s hiring process here... ...established tolerance limits and for compliance with specifications and requirements... ...application process, please contact the analyst, Hanz Pagao-Geppert (she/her/hers) at...Permanent employmentFull timeWork experience placementSecond jobLocal areaMonday to Friday- ...build evaluation tasks for AI systems operating in regulatory compliance and government affairs contexts. The workflows are... ...Administrative Procedure Act and agency-specific statutes such as SEC, FDA, and FTC rules) and an International track (EU regulatory frameworks and...Fixed term contract
- ...Americans to achieve more. About the Role Happen Bank’s Compliance Team is looking for an experienced compliance data analytics... ...Conduct tuning of existing BSA/AML transaction monitoring models/rules and watchlist screening processes; develop new processes as needed...Full timeWork at officeLocal areaRemote workRelocationFlexible hours
$97.6k - $137.25k
Worker Sub-Type:RegularJob Description: This role will report into the Director of Internal Audit and SOX Compliance within the Finance organization and is integral to the company’s financial reporting integrity, risk management strategy, and operational resilience. This...Full timeWork at officeRemote work$135k - $165k
...our platform and customer relationships. As we continue to scale, we are looking for a highly motivated Governance, Risk & Compliance (GRC) Analyst to support and mature Ivo's security compliance and risk management programs. Role Overview Ivo is seeking a detail-...Contract workFlexible hours- ...inconsistent with the law of the State, the rules governing Civil Service, and the special... ...Title Public Utilities Regulatory Analyst II Classification PUBLIC UTILITIES REGULATORY... ...or relay-related contract areas, for compliance with terms and the Commission policy and...Permanent employmentFull timeContract workTemporary workFor contractorsLocal areaRemote work
- ...Compliance Operations Specialist (Legal and HR)At Flynn Group, we believe in the power of collaboration and value in-person interactions... ...analysisDemonstrated curiosity, initiative, and a love for learning and problem solvingPreferred QualificationsExperience with:Employment...Casual workWork at officeLocal areaWork from home
- ...Compliance Officer III, ASGThis position is within the Administrative Services Group Compliance Function and is responsible for taking a... ...highly regarded. Candidate must have the capability and appetite to learn about the regulations for the groups they will support.This...
$33 - $38 per hour
...strong and efficient IP licensing environment that yields better products and technologies for people around the world. The Compliance Analyst Intern will join Via LA's Global Compliance team and support the licensee audit process. This is a hands‑on internship that offers...Hourly payInternshipWork at officeLocal area3 days per week- ...operations. We are seeking an experienced and highly motivated Senior Compliance Specialist to help scale our security, privacy and compliance... ...and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of...Contract workFor contractorsFor subcontractorWork at office
- ...The MIL Corporation is seeking a Junior Compliance Officer to support federal law enforcement with I-9 audit services. This position focuses on employment eligibility verification, data management, and compliance documentation in a crucial mission environment. The role...Contract workRemote work
$120k - $155k
...Compliance Officer Our fast-paced Compliance Advisory team is looking for a Compliance Officer with a strong understanding of integrity... ...while maintaining a solution‑oriented mindset. You are eager to learn, develop expertise, and grow within the Compliance team. Annual...Work at office- ...Crowell & Moring LLP in San Francisco seeks an International Trade Analyst to support KYC counterparty due diligence, sanctions screening, and AML risk reviews, with a focus on identifying beneficial ownership and red flags. The role involves collaboration with U.S., EU...
$134k - $202k
...comes next. About the role: We are looking for a GRC Analyst to join our Governance, Risk & Compliance (GRC) team. You will have the opportunity to manage and... ..., including equity. Inclusive Healthcare Package. Learn and Grow - we provide mentorship and send you to events...Work at officeRemote workWork from homeWorldwideMonday to FridayFlexible hours- ...Job Description Job Description We are seeking a Privacy & Compliance Specialist to build and run Superpower's privacy and compliance... ...compliance frameworks and audit readiness (e.g., HIPAA Security Rule, SOC 2) — policies, controls, evidence, and remediation. Run...Full timeFixed term contractRelocationVisa sponsorship
- ...Administration Section/Unit: Contract Compliance Office Work Location: One South Van... ...enforcing compliance program(s), legislation, rule(s) and/or regulation(s). Clear and... ...application was not submitted or received. Exam Analyst Information: If you have any questions...Permanent employmentFull timeContract workTemporary workApprenticeshipWork experience placementWork at officeLocal areaImmediate startMonday to Friday
$75k - $90k
...Existing book of business with approximately $25M-$50M in AUM FINRA Series 7 License Series 63 or 66 Series 65 or 66 Active State... ...capabilities Desire to grow within a coaching and peer‑learning environment Proven track record of consistent production and client...$120k - $139k
...seasoned professional with expertise in infrastructure data center compliance to join our growing Tech practice. The ideal contractor will... ...on performance, competence, conduct, or business needs. To learn more about our mission, values, and business sectors, please visit...For contractorsLocal areaWorldwideVisa sponsorship- ...SUMMARY OF THE POSITION: Under the direction of the Regional Compliance Director, the Compliance Specialist determines applicants’ initial... ..., state and local laws, government regulations and agency rules that pertain to properties involved specially Section 42 of the...Work at officeLocal areaRemote workFlexible hours
- Norton Rose Fulbright in the United States seeks an experienced Compliance (Conflicts) Analyst to join our US team. This role conducts conflict‑of‑interest research, reviews matter intake, performs corporate and database research, and identifies potential issues for lawyer...Remote job
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