Average salary: $106,314 /yearly

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  • Attorney-Adviser

    $86.47k - $207.57k

     ...Division of Examinations is seeking a early career Attorney-Adviser, SK0905-11/12 in the Office of Broker-Dealers (BDX), Office of FINRA and Securities Industry Oversight (FSIO) Office of Investment Advisers and Investment Companies (IA/IC) and Office of Clearance Settlement... 
    Suggested
    Work at office

    Securities and Exchange Commission

    Los Angeles, CA
    2 days ago

  • Clearing Operations Program Manager

    $145k - $170k

     ...Builds and sustains strong, trust-based relationships across a wide range of cross-functional teams with a high level of responsiveness. FINRA Series 7 required, Series 24 preferred In addition to the base pay range listed below, this role is also eligible for bonus... 
    Suggested
    Work at office
    Shift work
    3 days per week

    Robinhood Markets, Inc.

    Chicago, IL
    3 days ago

  • Sr. Analyst, Compliance

     ...other team members to assist in administration of the compliance program for Resolute Investment Distributors, Inc., the company's FINRA-member limited purpose broker-dealer. In addition, the Senior Compliance Analyst supports the compliance programs implemented on behalf... 
    Suggested
    Work experience placement
    Work at office
    Work from home

    Resolute Investment Managers (parent company of American Bea...

    Irving, TX
    3 days 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
    3 days ago

  • VP, Compliance Advisory for RIAs & FINRA

    Kroll seeks a collaborative compliance leader to advise a diverse portfolio of financial services clients, including RIAs, broker-dealers, and registered investment companies. You will mentor colleagues, manage multiple client engagements, and strengthen regulatory programs...
    Suggested

    Kroll

    Los Angeles, CA
    3 days ago

  • Director, Regulatory Operations, Risk Intelligence Operations Center

     ...information requests relating to the program.Respond to inquiries from, and create and implement resolution plans for, Internal Audit and FINRA CCO exams/inquiries and related findings and conclusions.Demonstration of FINRA’s values.Collaboration, both in-person and virtually... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Jersey City, NJ
    4 days ago

  • Senior US Equities Sales Trader

    $200k - $250k

     ...and join our Team - we look forward to receiving your application!Who We Are:Berenberg Capital Markets LLC (BCM) is a New York based FINRA member broker-dealer, and wholly owned independent subsidiary of Joh. Berenberg, Gossler & Co. KG (Berenberg), one of Europe’s... 
    Suggested
    Work at office
    Local area

    Berenberg

    New York, NY
    2 days ago

  • Director of Regulatory Reporting

     ...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

    Madison Davis

    Jersey City, NJ
    5 days ago

  • Principal Analyst, Risk Monitoring

    Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions:This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Jericho, NY
    4 days ago

  • Senior Wealth Advisor - Hybrid

    $300k

     ...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... 
    Suggested
    Full time
    Flexible hours

    Cetera Financial Group

    Minneapolis, MN
    1 day ago

  • Principal Analyst, Transparency Services Equities - Extended Hours

     ...monitoring and responding to real-time trade report and data dissemination issues. This role coordinates multiple internal teams (e.g., FINRA Market Operations, FINRA Client & System Management, etc.) and external parties (e.g., TRF Business Members, SEC staff, firms, etc.)... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Rockville, MD
    2 days ago

  • Senior Analyst, TS Market Operations

    The Senior Analyst in Market Operations section of Transparency Services supports the operation and monitoring of FINRA’s trade reporting facilities including communications with member firms, vendors, exchanges, regulatory organizations and other FINRA departments. This... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start
    Shift work

    Financial Industry Regulatory Authority

    Rockville, MD
    2 days ago

  • Sales and Distribution Compliance - Senior Vice President

    $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... 
    Suggested
    Full time
    Work at office
    Remote work

    iCapital Network

    Greenwich, CT
    2 days ago

  • VP, Legal Entity Controller & Regulatory Reporting

    $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... 
    Suggested
    Work at office
    Remote work

    Abacus Group

    New York, NY
    1 day ago

  • Senior Analyst, Technology - Technology - Workday Finance

     ...defined in-person presence requirements. Extended hours outside normal business hours may be requiredUse of corporate PC (provided by FINRA).Exciting, hands-on, challenging position and success-oriented work environment.For work that is performed in CO, FL, TX, IL, PA, MA... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Dallas, TX
    2 days ago

  • Senior Vice President, Supervising Principal - Fixed Income Trading

    $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 time
    Flexible hours

    Mesirow Financial Holdings

    Chicago, IL
    5 days ago

  • Senior Software Engineer

     ...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.... 
    Full time
    Temporary work
    For contractors
    Work experience placement
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Rockville, MD
    2 days ago

  • Financial Case Advisor - ACTIVE FINRA Series 7 License

    Job-ID29241628Reference26-25514Remote50% Remote Job Description: Required Qualifications: • 2 years of risk management, business controls, quality assurance, business operations, compliance, or process experience. • Successfully completed Financial Industry Regulatory Authority...
    Ongoing contract
    Immediate start
    Remote work

    Mindlance

    Charlotte, NC
    2 days ago

  • Principal Psychometrician

     ...subject matter expert and internal resource on assessment, psychometric, and data analytic methodologies, including proficient use of FINRA’s proprietary item banking and test delivery system.Maintains deep, current knowledge of measurement theory and emerging... 
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Woodbridge, NJ
    5 days ago

  • Vice President, Trading and Product Risk Intelligence

     ...with a strong ability to build and maintain effective relationships both internally and externally with industry participants such as FINRA member firms, other regulators, law enforcement, intelligence partners, exchanges, and market infrastructure providers.Strategic... 
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start
    Night shift

    Financial Industry Regulatory Authority

    Philadelphia, PA
    4 days ago

  • Director - Credit Risk

    $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

    Clear Street

    New York, NY
    4 days ago

  • Financial Services Litigation Associate for LA or SF

    $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 time
    Temporary work
    Work at office
    Flexible hours

    Greenberg Traurig LLP

    San Francisco, CA
    4 days ago

  • Principal Analyst, Financial Disclosure & Trading

     ...financial and personal information.Essential Job Functions:Responds to oral and written inquiries from employees and managers across FINRA regarding financial disclosures and trading restriction requirements, including moderately complex scenarios.Reviews employee... 
    Full time
    Temporary work
    For contractors
    For subcontractor
    Work at office
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Washington DC
    4 days ago

  • Business Unit Risk Specialist I/II - FINRA

    $115k - $145k

     ...such as Microsoft Office software products.8. Ability to travel, occasionally overnight.Preferred Qualifications1. Strongly preferred: FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66).2. Previous... 
    Full time
    Part time
    Work experience placement
    Work at office
    Shift work
    Night shift
    Day shift

    Truist

    Atlanta, GA
    5 days ago

  • Director of Compliance

    $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... 
    Full time
    Work at office
    Local area
    Immediate start

    Greystar

    Charleston, SC
    4 days ago

  • Lead Application Security Architect

     ...representative.Provide backup coverage for next-level management, as appropriate.Collaborate, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.Standards & QualityAssist with adherence to technology policies and comply... 
    Full time
    Temporary work
    For contractors
    Work experience placement
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Rockville, MD
    4 days ago

  • Investor Support Specialist

    Austin, TXInvestor Relations /Full-time /HybridJob SummaryMicroVentures is a FINRA regulated brokerage firm that helps retail investors gain access to private equity investments through primary, secondary and crowdfunding offerings. Founded in 2009, MicroVentures was one... 
    Full time
    Flexible hours

    Microventures

    Austin, TX
    2 days ago

  • Economist - Regulatory Economics

     ...financial analysis projects to evaluate the risks, costs, and impacts of market practices and regulatory alternatives in support of FINRA's mission.Essential Job Functions: Contribute to and support research and analytical (R&A) work across one or more subject matter areas... 
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Washington DC
    5 days ago

  • Senior Reg Policy Specialist, Regulatory

     ...respect to rulemaking and interpretive functions for the organization, and assists in providing legal and advisory support to other FINRA departments and committees, and interpretive guidance to FINRA members and others. This entails applying substantial knowledge and analytical... 
    Full time
    Temporary work
    For contractors
    For subcontractor
    Work at office
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Rockville, MD
    2 days ago

  • Senior Systems Administrator/Engineer - Identity and Infrastructure

     ...technical staff, share operational knowledge, and promote consistent engineering and support practices across the team. Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity... 
    Full time
    Temporary work
    For contractors
    Work experience placement
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Rockville, MD
    5 days ago