Average salary: $92,341 /yearly

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  • Senior VP, Legal & Compliance — Broker-Dealer Leader

     ...Vice President to lead Legal and Compliance for PI's broker‑dealer operations. You will shape the compliance framework and supervise FINRA‑related activities to support distribution of U.S. registered and private funds. As Head of Legal and Compliance, you will partner... 
    Suggested

    PIMCO Ltd. - Pacific Investment Management Company

    New York, NY
    1 day ago

  • Compliance Program Manager

    $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... 
    Suggested
    Full time

    Strategas Asset Management

    New York, NY
    4 days ago

  • Fast Track Insurance Partner

    $65k - $106k

     ...Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V 1 - Full-time agents and their dependents are immediately eligible... 
    Suggested
    Full time
    Part time
    Currently hiring
    Work at office
    Immediate start

    New York Life- Sugar Land

    Houston, TX
    1 day ago

  • Principal Counsel, Regulatory

    $114.2k - $207.2k

     ...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... 
    Suggested
    Work at office

    FINRA

    New York, NY
    4 days ago

  • Principal Counsel, Regulatory

     ...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... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Work at office
    Local area
    Immediate start

    Financial Industry Regulatory Authority , Inc.

    Rockville, MD
    3 days ago

  • Associate General Counsel

     ...innovation and collaboration. The firm is a registered broker-dealer with the U.S. Securities and Exchange Commission and a member of FINRA, SIPC, and NASDAQ. About the Role: Chardan is seeking an Associate General Counsel or Senior Counsel to join our legal team.... 
    Suggested
    Contract work
    Remote work
    Flexible hours

    Chardan

    New York, NY
    16 hours ago

  • General Counsel

    $225k - $275k

     ...Europe, we have built a reputation for innovation, longevity, and consistent performance. Through regulated businesses that include a FINRA-registered broker-dealer, a self-clearing Chicago Mercantile Exchange member firm, and an AFM-licensed MiFID II investment firm,... 
    Suggested
    Full time
    Casual work
    Remote work
    Flexible hours

    Gelber Group

    Chicago, IL
    16 hours ago

  • Financial Advisor

     ...Command. ©2026 First Command Financial Services, Inc. is the parent company of First Command Brokerage Services, Inc. (Member SIPC , FINRA ), First Command Advisory Services, Inc., First Command Insurance Services, Inc. First Command does not discriminate in the... 
    Suggested
    Hourly pay
    Temporary work
    For contractors
    Traineeship
    Work at office
    Local area
    Home office

    First Command Financial Services

    Du Pont, GA
    1 day ago

  • Registered Funds Mid-Level Associate

    $310k - $390k

     ...management and regulatory compliance.Draft, review, and negotiate agreements, disclosures, and other legal documents.Advise on SEC, FINRA, and other regulatory requirements impacting the investment management industry.Collaborate with internal teams and external stakeholders... 
    Suggested

    Page Executive

    New York, NY
    3 days ago

  • Senior Tax Associate

     ...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 (... 
    Suggested
    Full time
    Work at office
    Local area
    Flexible hours

    Cetera Financial Group

    Denton, TX
    2 days ago

  • Associate Director, State Government Affairs

    $114.2k - $207.2k

     ...on state regulatory and legislative matters. This role monitors and analyzes state legislative and regulatory initiatives affecting FINRA and the securities industry, delivering actionable intelligence to senior leadership. The position manages critical stakeholder relationships... 
    Suggested
    Full time
    Contract work
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority , Inc.

    Washington DC
    4 days ago

  • HR Specialist (Workday), People Analytics

     ...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.... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority , Inc.

    Rockville, MD
    4 days ago

  • Chief Technology Officer

     ...Technology Audit Accountability1. OverviewuSmart Capital is seeking a Chief Technology Officer to own the technology function of a FINRA member firm registered with the SEC. This role is defined as much by regulatory accountability as by engineering leadership.In a U.S... 
    Suggested
    Interim role
    Live in

    USMART CAPITAL, LLC

    New York, NY
    2 days ago

  • Senior Tax Associate

     ...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 (... 
    Suggested
    Full time
    Work at office
    Local area
    Flexible hours

    Cetera Financial Group

    Denton, TX
    4 days ago

  • Internal Auditor

     ...assessing the firm's internal control structure. For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules, particularly regarding trade reporting and employee equity compensation. Core Responsibilities Audit Lifecycle... 
    Suggested
    Contract work

    PROLIM Corporation

    New York, NY
    16 hours ago

  • Vice President

    $250k

     ...date with transactions ranging from $200 million to $2 billion in enterprise value.Aeris is a registered broker-dealer and member of FINRA and SIPC.We are seeking high calibre pre- and post-MBA Vice Presidents with exceptional leadership, communication, teamwork, client-... 

    Aeris Partners

    Boston, MA
    1 day ago

  • Branch Manager

    $100k

     ...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 time
    Internship
    Work at office
    Local area
    Flexible hours

    Cetera Financial Group

    Houston, TX
    3 days ago

  • Senior Software Engineer

    $97.7k - $176.1k

     ...Avoids 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... 
    Temporary work
    Work experience placement
    Local area

    FINRA

    Rockville, MD
    1 day ago

  • Associate Attorney

    $80k - $90k

     ...Regional Sales Manager Director Strategic Program Development - US Based Remote Senior Manager, Talent Acquisition- Houston, TX FINRA-LICENSED Investment Banker: Angel-Stage Capital Raise for PE Advisory Startup ($500K–$1M) Houston, TX $90,000.00-$90,000.00 2... 
    Full time
    Local area
    Remote work
    Worldwide

    New Era Technology company

    Houston, TX
    1 day ago

  • Software Engineer (GenAI)

     ...Required to take Assessment and Onsite interview on Oct 6th Mid level- ./hr on W2 & Senior level-./hr on W2 Client: Consultnet/FINRA Levels: Mid and Senior Mid-level: 5+ years of experience Senior-level: 7+ years of experience Project:... 
    Contract work

    Interon IT Solutions

    Rockville, MD
    1 day ago

  • Trader

     ...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 time
    Work at office
    Flexible hours

    Cetera Financial Group

    Dallas, TX
    1 day ago

  • Financial Advisor

     ...will be required; if not currently registered, registrations may be obtained at Edward Jones during the assigned paid study period.FINRA registrations required within three months. State insurance licenses will be required.As an associate, you are required to complete... 
    Traineeship
    Work at office
    Local area
    Work from home
    Home office
    Flexible hours

    Edward Jones

    Santa Maria, CA
    4 days ago

  • Financial Advisor

     ...Peers: Join a collaborative network of like-minded professionals who share your values and vision. Qualifications we are looking for: FINRA Series 7 FINRA Series 66 OR 63 and 65 Proven track record of success Passionate about delivering exceptional client outcomes Ready... 
    Full time

    Cetera Wealth Services

    Boca Raton, FL
    2 days ago

  • Lead Software Engineer - Big Data

    $114.2k - $207.2k

     ...progress and priorities with key stakeholders, communicating complex or technical information at the right level. Demonstration of FINRA's values. Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market... 
    Full time
    Temporary work
    Work experience placement
    Local area
    Immediate start

    FINRA

    Rockville, MD
    4 days ago

  • Financial Professional

     ...term care insurance, disability insurance and investment products offered through our broker-dealer arm NYLIFE Securities LLC (member FINRA and SIPC), a Licensed Insurance Agency, and workplace solutions offered by our Business Solutions division. You can also use our... 
    Contract work
    Work at office

    Staff My Agency

    Odessa, TX
    16 hours ago

  • Audit Intern - Summer 2027

    $25 per hour

     ....3300 | 888.LUMSDEN | Fax: 716.856.2524 | ****@*****.*** Securities offered through Avantax Investment Services SM , Member FINRA , SIPC . Investment advisory services offered through Avantax Advisory Services SM . Insurance services offered through an Avantax affiliated... 
    Hourly pay
    Full time
    Summer work
    Internship
    Immediate start

    Lumsden & McCormick LLP

    Buffalo, NY
    16 hours ago

  • Head of Finance

     ...fintech brands. As part of its global expansion, Toss has opened overseas offices in the US and Japan. Toss Securities US LLC (TSUS), a FINRA-registered broker-dealer, is building the next generation of investing products and infrastructure as it actively grows its U.S.... 
    Local area
    Relocation
    Overseas

    Toss Securities US LLC

    New York, NY
    2 days ago

  • Senior Employee Relations Specialist

     ...employee relations professional who thrives on solving complex workplace challenges and driving meaningful organizational change? At FINRA, we're looking for a Senior Employee Relations Specialist to bring expertise, integrity, and strategic vision to our Employee... 
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority , Inc.

    Brooklyn, NY
    16 hours ago

  • Marketing Analytics Manager

    $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 time
    Work at office
    Flexible hours

    Cetera Financial Group

    Dallas, TX
    16 hours ago

  • Financial Advisor

     ...from others? …the strong commitment to success – for you, the team, and most importantly your clients? …or are you able to obtain your FINRA licenses (Series 7 and 66) and advanced designations such as Certified Financial Planner? Again, if you answered “ YES ” to any of... 
    Temporary work
    Local area

    Evershore Financial Group

    Orlando, FL
    1 day ago