Average salary: $93,383 /yearly
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$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 timeStrategas Asset Management
New York, NY4 days ago$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, NJ2 days ago$20.54 - $27.46 per hour
...be the first step of the career pathing program to future opportunities that require industry experience and licenses (Insurance, FINRA Series 7, & 66 or 63/65 combo). What You Will Do: • Act as a liaison between the registered representatives and their clients....SuggestedHourly payFull timeWork at officeFlexible hours$150k - $225k
About Us: Optimal Market Technologies is a FINRA-registered broker-dealer with an innovative platform of wholesale options and execution solutions designed to meet the needs of today’s dynamic market participants. Optimal can quickly and seamlessly enhance its platform...SuggestedFull time$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...SuggestedHourly payFull timeWork at officeFlexible hours$16 - $24 per hour
...contracting process, a verification of a candidate’s background will be completed upon hiring. Fingerprints will be required as part of the FINRA registration process for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records....SuggestedHourly payFull timeWork at officeSCOTT HERRMANN SHORELINE GROUP
Madison, WI3 days ago$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...SuggestedWork at officeLocal area- 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...SuggestedFull timeFlexible hours
- ...Functions:Identify opportunities to leverage technology to achieve OCLO strategic objectives in collaboration with OCLO offices and FINRA business units. Partner with business and technology sponsors to build successful business cases to fund the initiatives.Oversee and...SuggestedFull timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start
$245k - $331k
...situations. Leads teams and functions that support Enforcement's core operations, enabling the senior management team to effectively advance FINRA's regulatory mission and convey Enforcement and Regulatory Operations strategic priorities. Operates with significant autonomy and...SuggestedFull timeTemporary workFor contractorsFor subcontractorLocal areaImmediate start$225k - $338k
...and succinct manner.Develop and maintain effective relationships with senior leaders throughout the organization and with external FINRA constituents including the SEC, other regulators, and market participants as needed.Develop and manage Surveillance environmental SWOT...SuggestedFull timeTemporary workFor contractorsFor subcontractorLocal areaImmediate start- ...four departments related to risk monitoring, intelligence, collection and dissemination, and emerging risk identification to enhance FINRA's regulatory effectiveness.Division Structure:The EVP will lead four dedicated departments:Risk Monitoring, Statutory...SuggestedFull timeTemporary workFor contractorsFor subcontractorLocal areaImmediate start
$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$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 (...SuggestedFull timeFlexible hours- ...executive and senior leadership to effectively execute against the mission, goals and strategic and operational priorities of OCLO and FINRA.Essential Job Functions:Serve as a key OCLO authority and liaison on projects and initiatives related to OCLO goals and objectives....SuggestedFull timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start
$225k - $288k
...regulatory, and execution issues that arise during transaction lifecyclesEnsure compliance with Securities and Exchange Commission (SEC), FINRA, and applicable cross-border regulatory requirements, and implement risk management practices across market, execution, and...Full timeWork at officeLocal areaRemote workFlexible hours- ...operates, coordinates, and invests in a range of technology-dependent and operationally complex facilities and services that benefit FINRA and other regulators, market participants, and investors. This role is responsible for analyzing potential opportunities to expand...Full timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start
$96.6k - $130k
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating...Full timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start- Job DescriptionUnlock Your Career Potential: Customer Service at ADP. It's all about enabling our customers to be more effective employers. Our Customer Service team makes it happen by collaborating with customers and other ADP colleagues to ensure our products and services...Hourly pay
$55k - $157.3k
...workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a FINRA Supervisory Specialist Senior within PNC's Wealth Management organization, you will be based within the PNC footprint at one of the...Full timeTemporary workPart timeWork experience placementWork at office$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$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$92k - $138k
...monitors exposure related to Regulatory Capital and Client Asset Protection, as well as performs regulatory reporting related to various FINRA, FRB NY, and OFR regulations. The VP role is responsible to supervise various operational activities that could have adverse impact...Full timeWork at office- ...Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.Click...WorldwideWeekend work
$70.32k - $105.48k
...control activities, for assigned accounts and processes to ensure conformance with GAAP accounting standards, as well as compliance with FINRA and SEC regulations. Prepares information for inclusion in regulatory filings and other management financial reports. Analyzes...Full timeContract work- ...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 investigationsConduct routine communication...
- ...resolve issues and enhance service delivery Conduct quality assurance reviews and support licensing oversight as required under FINRA guidelines Participant Experience: Monitor service channels (phone, email, chat) to ensure timely and effective participant...
Muriel Siebert & Co Inc
Nashville, TN28 days ago - ...services. This role tracks and supports complex contractual transactions, ensuring timely and accurate execution of agreements prepared by FINRA's Commercial Transactions Group, and partners with the Asset Management team to ensure optimal lifecycle management of FINRA's...Full timeContract workTemporary workFor contractorsFor subcontractorLocal areaImmediate start
- ...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
- ...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 integrity....Full timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start
