Average salary: $67,785 /yearly

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  • 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

  • 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

  • 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

  • Associate Principal Analyst, Manipulation

     ...reviews of moderate to high complexity to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on more complex assignments under the direction of more senior staff.Essential... 
    Suggested
    Full time
    Temporary work
    For contractors
    For subcontractor
    Work at office
    Local area
    Immediate start
    Remote work

    Financial Industry Regulatory Authority

    New York, NY
    5 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...
    Suggested
    Ongoing contract
    Immediate start
    Remote work

    Mindlance

    Charlotte, NC
    2 days ago

  • Equity Capital Markets - Vice President

    $210k - $275k

     ...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... 
    Suggested
    Full time
    Work at office
    Local area
    Remote work
    Flexible hours

    MUFG

    New York, NY
    5 days ago

  • IT Support Engineer

     ...IT Support Engineer Location: Chicago, IL (Hybrid) Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures Trading Commission (CFTC) as a registered Futures Commission Merchant (FCM... 
    Suggested
    Full time
    Work at office
    Remote work

    Phillip Capital Inc.

    Chicago, IL
    1 day ago

  • Senior Associate

     ...• Based in Southern California, or willing to relocate. We work remotely but meet in person and travel to clients as needed. • FINRA Series 79 and SIE, or the ability to obtain them within a defined period after joining. We will sponsor registration through BA Securities... 
    Suggested
    Full time
    Remote work
    Work from home
    Relocation
    Night shift
    Day shift

    Candor Advisors

    San Diego, CA
    3 days ago

  • Financial Advisor

     .... ©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 recruiting... 
    Suggested
    Hourly pay
    Full time
    Temporary work
    For contractors
    Traineeship
    Work at office
    Local area
    Home office

    First Command Financial Services, Inc.

    Enterprise, AL
    9 hours ago

  • Financial Advisor

     ...©2025 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. and First Command Bank. Securities products and brokerage... 
    Suggested
    Hourly pay
    Minimum wage
    Temporary work
    For contractors
    Traineeship
    Work at office
    Local area
    Home office

    First Command Financial Services, Inc.

    Jacksonville, NC
    3 days ago

  • Internal Business Development Consultant

    $80k

     ...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 experience placement
    Work at office
    Home office
    Flexible hours

    Cetera Financial Group

    United States
    2 days ago

  • FINRA Licensed Stock Plan Associate

     ...Supporting the implementation and administration of Rule 10b5-1 trading plans, the full-time remote FINRA Licensed Stock Plan Associate will manage trading activities, coordinate with various stakeholders, and ensure compliance with SEC regulations. Key responsibilities... 
    Suggested
    Full time
    Remote work

    Virtual Vocations Inc

    United States
    2 days ago

  • Chief Compliance Officer

    $120k - $155k

     ...Regulatory Interpretation and Application: Interpret and apply complex federal and state regulations, including SEC, DOL, ERISA, and FINRA requirements, across organizational operations and service lines. Ensure consistent alignment with fiduciary standards and legal... 
    Suggested
    Contract work
    Temporary work
    Local area
    Remote work
    Flexible hours

    HIS Envoys Group

    Colorado Springs, CO
    4 days ago

  • Regional Business Development Manager

    $110k

     ...Francisco, CA, United States Schedule: Full time Posted: Minimum Salary: 110,000 Maximum Salary: 121,000 Finra Registration: Yes Cetera Financial Group (CFG) is currently seeking a Regional Business Development Manager who will lead the... 
    Suggested
    Full time
    Work experience placement
    Remote work

    Cetera Financial Group

    San Diego, CA
    3 days ago

  • Non-Delegated Underwriter Vice President, Residential Credit

     ...entities, including Annaly Credit Opportunities Management LLC, an SEC registered investment adviser ("ACOM"), Arcola Securities, Inc., a FINRA member broker-dealer ("Arcola") and, Onslow Bay Financial LLC, a mortgage aggregator and master servicer ("Onslow Bay"). The Company... 
    Contract work
    Work at office
    Local area
    Remote work

    Annaly Capital Management

    Dallas, TX
    1 day ago

  • FINRA Licensed Trading Specialist

     ...Monitoring live trading activity, the remote FINRA Licensed Trading Specialist will ensure accurate trade execution across multiple sessions, investigate trading issues, and coordinate responses to disruptions while supporting the health of the trading infrastructure.... 
    Work experience placement
    Remote work

    Virtual Vocations Inc

    United States
    3 days ago

  • Remote FINRA Registration Specialist

     ...Specialist for a 1-month remote assignment (potential extension to October 2024). You will assist in filing Form U4s and Form BRs via FINRA Gateway, updating employment addresses and supervisory details. Knowledge of FINRA Rule 3110 is essential, with 3–5 years in a... 
    Work at office
    Remote work

    BizTek People

    New York, NY
    3 days ago

  • Remote Litigation Attorney - Broker-Dealer & FINRA Expert

     ...dealers in customer disputes, regulatory matters, and related litigation. The ideal candidate has at least five years of practice as a litigation attorney, a strong track record with FINRA arbitrations, and admission to the Bar in the state of residence. #J-18808-Ljbffr... 
    Remote work

    Innovative Driven

    New York, NY
    1 day ago

  • Associate Counsel, Early Dispute Resolution

     ...Associate Counsel, Early Dispute ResolutionJanney Montgomery Scott, a dually registered broker-dealer (FINRA member) and SEC-registered investment adviser, seeks an Associate Counsel, Early Dispute Resolution. The Associate Counsel will report to the Deputy General Counsel... 
    Temporary work
    Immediate start
    Work from home

    Janney Montgomery Scott

    Philadelphia, PA
    1 day ago

  • FINRA Licensed Quality Specialist

     ...To ensure the accuracy and compliance of stock plan transactions, the full-time remote FINRA Licensed Quality Specialist will perform quality reviews of back-office operational processing functions, manage approvals and escalations, and collaborate with various teams to... 
    Full time
    Work at office
    Remote work

    Virtual Vocations Inc

    United States
    4 days ago

  • Administrative Assistant, Insurance Legal & Compliance

     ...SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA. Benefits Jackson companies offer an outstanding benefits package including competitive pay, bonuses, comprehensive health insurance... 
    Home office

    The Jackson National Life Insurance Company

    Lansing, MI
    3 days ago

  • Sales Account Merchant

     ...services, insurance distribution, life and annuity products, wholesaling, sales support, or a related field-facing sales environment. FINRA Series 6 or 7, 63, and applicable life, health, and annuities licensing required, or ability to obtain and maintain required... 
    Full time
    Contract work
    Work at office
    Remote work
    Flexible hours

    Cetera Services LLC

    Idaho Falls, ID
    1 day ago

  • Attorney (FINRA/SEC Litigation)

     ...as a practicing litigation attorney At least 5 years of experience representing broker-dealers in a variety of contexts, including FINRA arbitrations, State and Federal court proceedings, as well as FINRA, SEC and state regulatory investigations. FINRA arbitration experience... 
    Hourly pay
    Remote work

    Jobrapido

    New York, NY
    1 day ago

  • Remote Financial Planner - Retirement & Wellness Guidance

     ...investments and distributions. Role emphasizes relationship building, proactive follow-up, and adherence to Empower’s CONSULT model. Requires CFP, FINRA licenses, and 2+ years direct planning experience. Remote-friendly with strong collaboration across teams. #J-18808-Ljbffr... 
    Remote work

    EMpower

    New York, NY
    3 days ago

  • Fixed Income Agency Trader

     ...specifications and trading protocols with version control, and support regulatory examinations and audits Ensure compliance with SEC, FINRA, and MSRB regulations, collaborate with Sales, Client Onboarding, Compliance, Operations, and Post Trade teams to resolve trade... 
    Work at office
    Work from home
    3 days per week

    PEAK6

    Austin, TX
    3 days ago

  • FINRA Licensed Benefits Consultant

     ...Supporting a practice group focused on executive benefits, the full-time remote FINRA Licensed Benefits Consultant will manage client relationships, coordinate with Executive and Benefits Planners, and provide exceptional account servicing and transaction support. Key... 
    Full time
    Remote work

    Virtual Vocations Inc

    United States
    1 day ago

  • Sr Financial Analyst - External Reporting and Regulatory

     ...and external financial statements and serves as the primary liaison with corporate auditors and regulatory examiners from the SEC and FINRA.As a Senior Financial Analyst – External Reporting and Regulatory, you will prepare financial statements, regulatory filings,... 
    Currently hiring
    Work at office
    Remote work
    Work visa
    3 days per week

    Baird Capital

    Milwaukee, WI
    1 day ago

  • Investment Banker

     ...Securities is known for building long-term client relationships and delivering tailored financial solutions. The firm is a member of FINRA, MSRB, and SIPC, reflecting its commitment to regulatory compliance and investor protection. Team members join a stable, established... 
    Full time
    Work from home

    Benjamin Securities Inc

    Tallahassee, FL
    3 days ago

  • Overnight Concierge: Elite Brokerage Support (Remote)

     ...remote shifts. You'll empower top customers, resolve complex issues, and guide them through multi-asset tools. Strong communication and FINRA credentials are essential for success. You’ll join a fast-paced team focused on customer advocacy, education, and long-term... 
    Remote work
    Night shift
    Afternoon shift

    Robinhood

    Denver, CO
    5 days ago