FINRA-Regulated Broker-Dealer Compliance Specialist
$100k - $115kBlue Owl Capital Inc.
Blue Owl Capital is seeking a compliance professional to join the broker-dealer team in Short Hills, NJ. The role focuses on implementing policies, coordinating FINRA filings, and supporting annual compliance processes. Requirements include at least 2 years in broker-dealer compliance in a FINRA environment, strong knowledge of securities laws, meticulous attention to detail, and Series 7 and 24 licenses. Base salary range is $100,000–$115,000 with eligibility for a discretionary bonus. #J-18808-Ljbffr Blue Owl Capital Inc.
- Blue Owl Capital is searching for a compliance professional to manage its broker-dealer compliance program. This position involves implementing compliance policies, coordinating FINRA filings, and providing training. The ideal candidate will have a minimum of 2 years of...SuggestedWork at office
- Blue Owl Capital Holdings LLC is seeking a compliance professional to manage the Compliance program for its broker-dealer affiliate, Blue Owl Securities LLC. This role includes... ...and procedures to maintain compliance with FINRA requirements and overseeing annual reports and...Suggested
- Blue Owl Capital is seeking a compliance professional to join the... ...Compliance program for the firm’s broker‑dealer affiliate, Blue Owl... ...to maintain compliance with FINRA requirements. Responsibilities... ...dealer compliance within a FINRA‑regulated environment, preferably at...Suggested
- A reputable IT staffing firm is seeking a Compliance Administrator in Florham Park, NJ. This role involves managing the onboarding process... ...Ideal candidates will have a bachelor's degree, 2+ years in broker-dealer compliance, and proficiency with CRD/IARD systems. Strong...SuggestedContract work
$91.4k - $186.9k
...to clients' industry and risks; ensure compliance with regulatory requirements and... ...changes in accounting standards, industry regulations, and best practices. Participate in the... ...audit experience working with Broker Dealer clients. Must have CPA certification...SuggestedHome office$101k - $131k
...initiatives. All job duties and responsibilities must be carried out in compliance with applicable legal and regulatory requirements. Note: (For... ...with appropriate business units and external clients (i.e. regulators, trade associations, and industry peers) to identify potential...Remote jobInterim role$70.6k - $139.8k
...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 opportunities and competitive compensation ranging...$45k - $55k
...Manager in Berkeley Heights, NJ, for a hybrid role. This position involves managing licensing activities and ensuring compliance with state regulations for the Specialty Program Group. Applicants should have an associate degree and 2-5 years of experience in the insurance...$120.9k - $254.9k
...’re looking for Audit Senior Managers with experience in the Broker Dealer industry vertical. As an Audit Senior Manager, you will further... ...people to act ethically and with integrity at all times.In compliance with federal law, all persons hired will be required to verify...Local areaWorldwideHome office$70.6k - $139.8k
...in Livingston, New Jersey is seeking an Audit Senior Associate with a robust background in external audit, particularly in the Broker Dealer industry. The role includes overseeing client engagements, mentoring junior staff, and maintaining strong client relationships....$70.6k - $139.8k
...align with your professional goals. Are you up for the challenge? We’re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical. As an Audit Senior Associate, you will further learn to lead, gain deep industry insight, and grow...Local areaHome office$70.6k - $139.8k
...re looking for Audit Senior Associates with experience in the Broker Dealer industry vertical.As an Audit Senior Associate, you will... ...our people to act ethically and with integrity at all times.In compliance with federal law, all persons hired will be required to verify...Local areaWorldwideHome office- ...located in Livingston, NJ, is seeking an Audit Senior Manager to provide traditional attestation services and lead teams in the Broker Dealer industry. You will manage client relationships, lead teams, and ensure audit quality. The ideal candidate will have 8+ years of...
- Crowe is seeking an Audit Manager in Livingston, NJ, to manage audit teams and ensure compliance with professional standards and policies. The role includes overseeing client relationships and managing the entire audit process, from budgeting to presenting findings to...
$70k - $75k
...Regulatory Compliance Specialist Base pay range: $70,000.00/yr - $75,000.00/yr The Regulatory Compliance specialist, in this highly detail-... ...vendor. Approve printed artwork to ensure compliance with regulations and internal/customer requirements. Maintain kosher documentation...Full timeWork at officeImmediate start- ...Purpose and Scope of the Position The Compliance Specialist, Equipment Commissioning & Qualification, supports the successful operation of... ...and Abilities Advanced knowledge of cGMP, GXP, GAMP, SDLC regulations, including 21CFR part 11, computer systems validation requirements...Work at officeLocal area
- ConnectOne Bancorp, Inc. is looking for a Mortgage Insurance Administrator to manage insurance information for loans. You will be responsible for obtaining and safeguarding insurance coverage while supporting client interactions and ensuring all records are accurate and...
- Job Title I-9 Compliance Specialist Location Onsite: 100 Deforest Ave., East Hanover, NJ 07936 Work Hours 9:00 AM to 5:00 PM (40-hour work week... ...I-9 and/or E-Verify processes. Solid understanding of I-9 regulations and compliance-related documentation. Experience at the HR...Local area
- ...Educate clients on various financial products and services to help them make informed decisions. Stay up-to-date on market trends and regulations to provide clients with accurate and timely advice. Opportunity to enter into the Management program. Qualifications 2+ years of...
$75k - $90k
...distribute letters Prepare NAV calculations Investor and compliance reporting Daily client interaction Matrix reporting... ...hybrid or remote work schedules in alignment with local regulations. Specific details for this position will be discussed during...Local areaRemote workWorldwideMonday to Friday- ...marketing efforts. The role involves regular communication with clients and team members, preparing reports, ensuring compliance with real estate regulations, and providing excellent customer service. The individual will play a key role in delivering exceptional...Full time
$70k - $75k
A food manufacturing firm is seeking a Regulatory Compliance Associate in Kenilworth, New Jersey. This role focuses on coordinating product labeling projects and ensuring compliance with regulations. Candidates should have an associate degree, at least 3 years of experience...Full time- ...changes in the marketplace, and other pertinent industry data. Qualifications Required: ~2+ years successful sales experience. ~ FINRA Series 6 and 63 licensing is required, but candidates with a great sales acumen and a financial background will be considered...
- ...requires strong organizational skills and familiarity with electronic health record systems. The Associate ensures compliance with healthcare regulations while collaborating with healthcare staff to support efficient healthcare delivery. Preferred qualifications include...Full time
$90k - $130k
...Job Summary The Trade Compliance Specialist role involves executing daily compliance activities related to international trade at Kearfott'... ...to support compliance with the U.S. Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR)....- ...Kindly email me your resume and contact number. Regulatory Compliance Specialist Location: Parsippany, NJ Duration: 6+ months (possibility of... ..., website, TDS, Customs, and WERCS portal. Interpret regulations and guidance documents accurately. Assist in tracking, archiving...
$70k - $75k
...The Regulatory Compliance Associate, in this highly detail‑oriented role, is responsible for coordinating the workflow of domestic and international product labeling projects, maintaining all project documentation, obtaining required approvals, and communicating new and...Full timeWork at office- ...Customs Compliance Specialist The Customs Compliance Specialist will be a part of our Corporate... ...maintains import compliance with all laws and regulations. Responsibilities: Perform... .... Communicate with customs brokers on any documentation or classification...Work at officeOverseas
$28 - $32 per hour
...Job Title: Customs Compliance Specialist Location: NEWARK, NJ 07102 Duration: 6+ months... ...closely with internal teams, carriers, brokers, and vendors to ensure resolutions are... ...submissions in compliance with US Customs regulations. Update brokerage billing...Hourly payContract workWork at officeRemote work$99k - $145k
...role, you will oversee lease data integrity, ensure ASC 842 compliance, and enhance reporting within our lease management system (CoStar... ...controlled information. To conform to U.S. Government export regulations applicable to that information, applicant must either be (A)...Permanent employmentContract workTemporary workCasual workWork at officeFlexible hours
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