Average salary: $92,458 /yearly
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$142.24k - $190k
...The organization operates through multiple entities, including an SEC-registered broker-dealer, MSRB-registered municipal advisor, FINRA-approved municipal advisor, and municipal securities broker-dealer, with FINRA/SIPC membership. These affiliated entities work in coordination...SuggestedWork experience placementWork at officeLocal areaRemote workFlexible hours$200k
## Managing Director, ECM-Investment Banking (FINRA)-3Applylocations: Ridgewood, NJ - Northland Securities Office: Minneapolis, MN - Northland Securities Officetime type: Full timeposted on: Posted Todayjob requisition id: R-20260908**At Northland, our employees are the...SuggestedTemporary workFor contractorsWork at officeWork from homeFNBO
Ridgewood, NJ5 hours ago$125k - $150k
...SEC-registered investment advisory firm (RIA). Through common ownership, SAM is affiliated with Strategas Securities, LLC (STS), a FINRA member broker‑dealer and RIA. SAM offers a suite of model portfolios to clients. The model portfolios are created by SAM’s affiliate...SuggestedFull time$141.92k - $212.89k
About FINRA FINRA (Financial Industry Regulatory Authority) is the largest independent regulator of securities firms doing business in the United States. Our mission is to protect investors and ensure market integrity through effective and efficient regulation. We oversee...SuggestedFull timeTemporary workFor contractorsFor subcontractorLocal areaImmediate start$175k - $185k
...SUMMARYThe Director of Compliance supports and helps administer the compliance program for the firm's SEC-registered investment adviser and FINRA-registered broker-dealer. Sitting within the Compliance team and reporting directly to the Chief Compliance Officer, this role...SuggestedFull timeWork at officeLocal areaImmediate start$175k - $250k
...applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.What you’ll doAs a Machine Learning Engineer - Applied Scientist you will play a critical role in...SuggestedWork experience placement$115k - $145k
...capabilities10. Proficiency with Microsoft Office applications, reporting tools, and data analysis techniquesPreferred Qualifications:1. FINRA Series 7, 24, 53, and 66 licenses (Series 9 & 10 may substitute for Series 53; Series 63 & 65 may substitute for Series2. Previous...SuggestedFull timePart timeWork at officeShift workDay shift- FINRA’s Office of the Chief Data Officer is seeking an experienced Lead Product Manager to lead the development and delivery of an enterprise-wide Data Inventory platform. This role will drive a strategic initiative to identify, document, and manage sensitive data assets...SuggestedFull timeTemporary workFor contractorsWork experience placementFor subcontractorWork at officeLocal areaImmediate start
$223k - $335k
Strategic Intelligence is a team within FINRA's Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better, more informed, and timely regulatory decisions. The...SuggestedFull timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start- ...IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position....SuggestedFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start
- ...teamAvoids blame and solves the right problems, disagreeing and committing when necessary to move decisions forward Demonstration of FINRA’s values.Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity....SuggestedFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start
- ...institutions.Details:-Oversees the preparation, review FRY-9C, FFIEC 009, FR Y-15, regulatory reports for the broker dealer entity including FINRA and SEC reports (Focus, SSOI, OBS, SIS), FRB’s TIC B reports and all other US department of Commerce reports. -Support the team’s...Suggested
- ...data problems, and collaborating with HRIS and engineering teams to support resolution.Additional Responsibilities:Demonstration of FINRA’s values.Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity....SuggestedFull timeTemporary workFor contractorsFor subcontractorLocal areaImmediate start
- ...architecture to a security analyst, a network engineer, and a director — and adjust the depth for each.Other Responsibilities:Represents FINRA at speaking engagements with various internal and external constituenciesLeads multi-level initiatives across Regulatory...SuggestedFull timeTemporary workFor contractorsFor subcontractorLocal areaImmediate start
- ...seeking an experienced lead developer with strong Java development and test lead skills to drive our testing automation strategy across FINRA's enterprise applications. This hands-on role (approximately 40% QA strategy/leadership, 50% automation and test case development, 1...SuggestedFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate startShift work
$300k
...will have:• At least 5 years of Financial Services industry experience• At least 3 years of experience as a planning-based Advisor• FINRA Series 65 License or 7 and 66 • Proficient in MS Office Suite and CRMsWhat is nice to have:• CFP designation is preferredCompensation...Full timeFlexible hours$175k - $210k
...provide management reporting and commentarySupport internal, external, and regulatory audits, including interactions with the SEC, FINRA, and CFTCAdminister regulatory capital and customer protection reporting processes, ensuring alignment between GAAP financials and regulatory...Work at officeRemote work$190k - $225k
...execution of the broker‑dealer’s comprehensive compliance program. This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution...Full timeWork at officeRemote work$202k - $303k
...critical leadership in analyzing regulatory developments, shaping organizational positions, and ensuring effective coordination across FINRA's Regulatory Operations and enterprise-wide stakeholder groups.Essential Job Functions:Regulatory Intelligence & Strategic...Full timeContract workTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start$96k - $142k
...innovative technology.Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (...Full timeWork at officeFlexible hours$20.2 - $25 per hour
...innovative technology.Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (...Full timeFlexible hours$100k - $130k
...institutional fixed income trading desk overseeing operations and supervision of daily trading activities, supporting compliance with SEC and FINRA regulations and managing risk. Daily responsibilities include reviewing transactions, approving high-risk orders, processing and...Full timeFlexible hours$305k - $390k
...year Associates with an interest in financial services litigation and representing broker-dealers and registered representatives in FINRA arbitrations in securities sales practices matters and other proceedings. Positions are available in Los Angeles or San Francisco. The...Full timeTemporary workWork at officeFlexible hours- ...increasing subject matter expertise and independence.Essential Job Functions: Assists in providing advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.Assists in briefing and...Full timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start
$78.7k - $138.2k
...communications review.Key ResponsibilitiesAct as a subject matter expert in Broker-Dealer related sales and distribution rules and FINRA related regulations and provide general compliance support to the Intermediary and Institutional Distribution team.Establish and maintain...Full timeWork experience placementH1bWork at officeWork from homeVisa sponsorship1 day per week- ...thrive. If you're looking for meaningful, mission-driven work that directly safeguards the financial well-being of everyday Americans, FINRA offers a career where your expertise truly matters.The OpportunityWant a front-row seat to how U.S. markets actually run? As a...Full timeTemporary workFor contractorsFor subcontractorLocal areaImmediate start
- ...applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.WHAT YOU'LL DOConduct routine trade surveillance and investigations.Conduct routine communication...
- ...other compliance related functions for ICE Bonds Securities Corporation (“ICE Bonds”), an SEC-registered broker dealer and a member of FINRA and the MSRB which operates multiple fixed income ATSs and offers related broker dealer services to its institutional customer base....Work at office
$180k - $250k
...policies and methodologies.Serve as the liaison for regulatory examinations, audits, and inquiries — including interactions with the SEC, FINRA, and other relevant regulators — preparing documentation, responding to findings, and ensuring timely remediation.Collaborate with...Work at office- ...team leadership, delivery of business value, risk mitigation, cost optimization and return on investment.Deliver results based upon FINRA annual goals, department goals and management requests.Direct and coordinate organization's financial and budget activities to fund...Full timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start
