Broker dealer compliance jobs in Hoboken, New Jersey - Page 2Create job alerts

COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR WHAT IS THE OPPORTUNITY? The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws, rules, and regulations, and ensuring effective controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters. This role is responsible for oversight of best execution, liquidity, derivatives, fair valuation, investment strategy and selection, proxy voting, assisting business areas to implement corrective actions or procedural changes, and applying a risk-based approach. What you will do • Serve as a compliance subject matter expert for assigned areas., • Review committee materials related to best execution, liquidity, derivatives, fair valuation, investment strategy and selection, proxy voting, and fiduciary investments., • Provide credible challenge at committee meetings., • Manage regulatory change management and participate with business areas, in addition to other support functions (Finance, Technology)., • Monitor legislative/regulatory/enforcement activity and trends for impacts to business line activities., • Provide compliance advice and guidance to business areas and with assigned business projects., • Assist with regulatory filings such as Form ADV and CFTC reporting., • Provide guidance and coaching to colleagues on interpretation and application of regulatory requirements to business processes., • Provide support in regulatory examination, risk assessments and internal audits., • Review and document procedures to ensure secure maintenance and quality of records., • Bachelor's Degree or equivalent, • Minimum 7 years of compliance, regulatory compliance with respect to registered investment adviser products and services., • Advanced knowledge of banking compliance laws and regulations, as related to lending, deposits, payments, and bank operations (Examples include but are not limited to: Reg B, Reg C, Reg V, Reg X, Reg O, Reg W, Reg CC, Reg D, Reg DD, Reg E,), • Ability to analyze complex situations and provide guidance, make recommendations, and/or escalate issues to appropriate levels of management., • Ability to interact with federal regulatory agencies., • Ability to operate effectively in a fast-paced environment., • Excellent organizational and analytical skills., • Ability to communicate clearly and professionally with all levels of an organization., • Excellent written and verbal communications skills., • Effective interpersonal skills., • Excellent time management skills and be accustomed to working with deadlines., • Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus., • Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs., • For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM)., • For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. Starting base salary: $77,000 to $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. *To be considered for this position you must meet at least these basic qualifications The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves. *City National Bank does business in Miami and the state of Florida as CN Bank. For more information about City National, visit cnb.com. EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at (213) 673-9139. These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days. Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job. #LI-JR1 #CR-JR

Job Title: Compliance Independent Testing Manager (Hybrid) Location: Jersey City, NJ | Pay: 59/hr Responsibilities: • Develop compliance testing programs based on laws, regulations, risks, and internal policies., • Independently conduct compliance testing of regulatory requirements, processes, policies, and controls., • Test key controls of the first and second lines of defense., • Escalate issues to CIT Manager / CIT Head for further investigation., • Draft and validate issues and recommendations with stakeholders., • Draft comprehensive reports on regulatory requirements, testing findings, and recommendations., • Ensure findings are tracked in the Reporting & Issue Tracking Application., • Report on activities and metrics periodically., • Conduct adhoc testing and assist with CEO/CCO Certifications., • Initiate projects to enhance CIT processes., • Assist in compliance matters during regulatory examinations., • Strong testing, audit, or regulatory experience., • Knowledge of U.S. securities, commodities, and banking regulations., • Familiarity with SEC, CFTC, Client, and other federal agency rules., • Industry knowledge in broker-dealer, futures, and banking activities., • Ability to apply regulations to trading and banking activities., • Excellent interpersonal and communication skills., • Strong writing skills for summarizing regulatory requirements and findings., • Ability to work under deadlines and manage multiple tasks., • Analytical and investigative skills., • Problem-solving and root cause identification abilities., • Business acumen and organizational understanding., • Strong organizational and project management skills., • Proficiency in MS Office Suite, PowerBI, and SharePoint., • 8-12 years of experience in financial services or regulatory roles., • Graduate Degree preferred., • Professional certifications or securities licenses (SIE, Series 3, 4, 7, 9 / 10, 24)., • SIE or equivalent (must be obtained within the first year of employment)., • Series 7 (may be taken after the SIE).

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series C funding round brought our total investment to over $170 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 6 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: As a Project Manager, you will be expected to leverage deep cross-functional expertise to coordinate with enterprise customers globally, guiding integrations from conception to launch by aligning technical teams, managing timelines, mitigating risks, and ensuring all deliverables meet strategic objectives in the following ways: • Own end-to-end project management for enterprise launches using our brokerage APIs (equities, crypto, options, and more), • Collaborate with external stakeholders (product, engineering, compliance teams, etc.) to scope, plan, and execute integration timelines, • Work cross-functionally with internal teams (BD, engineering, legal, compliance, operations and customer success) to resolve issues and align on resources, • Facilitate weekly partner check-ins, drive action items, and ensure progress toward key deliverables, • Track and report on project status, risks, and dependencies to internal leadership and partner stakeholders, • Help partners navigate onboarding requirements, such as KYC, AML and regulatory disclosures, • Document processes and continuously improve onboarding frameworks to scale future partner integrations Internally, the Project Manager is a key person to give the best context of a partner to many teams, including leadership. Simply put, the Project Manager is the voice of the customer internally at Alpaca. As a project manager in a highly collaborative role, the ideal candidate must demonstrate a strong communication, troubleshooting, solutioning and proactiveness skillset. Key Responsibilities: • Be the face of Alpaca to some of the largest enterprise businesses in their respective regions, • Provide updates to Alpaca's leadership team, being transparent with successes, blockers and solutions, • Stay updated on internal product development timelines, and work closely with the technical teams to roll out new features to partners, • Establish yourself as a subject matter expert on Alpaca's API and collaborate with fintechs around the world, • Ensure feature requests by partners are communicated to the technical teams and are adequately prioritized, • Support the success team with advice on integration items, including new products, • Solutionize for partners targeting key regions Alpaca is focusing on, driving the company's mission to open financial services to everyone on the planet, • Create internal and external resources that can be leveraged by both partners and internal teamsMust-Haves:, • 2+ years of enterprise-level business project management experience with strong process, analysis, design, and documentation skills, • Strong verbal and written communication skills for English-speaking clients to drive clarity on goals, set expectations, and collect feedback, • Demonstrated problem-solving ability and attention to detail to deliver high-quality output while meeting deadlines., • Flexibility to work with customers around the world, • Familiarity and interest in FinTech, financial markets, and investing applications, • Experience with communication and project management tools such as Slack, JIRA, Confluence, Basecamp and Google Workspace, • Startup mindset, • Sales and customer success background leading the customer's experience, • Training/enablement experience, • Brokerage/stocks experience, • Crypto experience Technical background, including: • Familiarity with metabase, • Experience with modern APIs (REST, Websockets, Server Sent Events), • Experience with enterprise software implementations, • Technical troubleshooting skills, • Experience with issue management (JIRA) and API logging tool, • Familiarity with Postman and curl requests How We Take Care of You: • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise. About the Team & Role: We're seeking a strategic Content & Script Writer who can create compelling, compliance-approved scripts and content for financial influencers that drive measurable KPIs. This role combines financial knowledge, creative storytelling, and data-driven content optimization to increase account openings, trading volume, and assets under management through influencer channels. Requirements This role must be based at the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. What You’ll Do: • Deeply analyze financial influencer's original content and tailor making high-converting scripts for them across platforms (YouTube, Twitter, Reddit) that drives specific KPIs (account openings, deposits, trading activity), • Work with compliance team to create pre-approved content templates and frameworks for different content types (educational, promotional, market updates), • Develop clear calls-to-action that comply with regulations, • Create rapid-response content frameworks for market events, • Develop "market alert" templates for quick deployment., • Adapt content strategy to market conditions. Write scripts for different market scenarios, • Create educational series (how to use our product, how to invest etc.) that convert viewers into customers, • Write market analysis scripts for influencers, • Optimize scripts based on performance data, • Structure content for maximum user conversion, engagement and retention What You Bring: • 3+ years of content writing experience in financial services, • Deep understanding of trading products and services, • Deep understanding of US stock market dynamics, • Proven track record of writing high-converting content, • Experienced and passionate about social media content creation What We Offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $65,000 - $85,000. This role is also eligible to participate in our discretionary bonus plan. Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. Warning about fake job posts: Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise. Futures Operations Manager Office Location: Jersey City, NJ or Dallas, TX About the Team & Role: The Futures Clearing Operations Manager is responsible for overseeing all clearing and settlement activities for US futures transactions, ensuring compliance with regulatory requirements, mitigating risk, and optimizing operational efficiency. This role requires knowledge of futures clearing processes, margining, risk, reconciliation, and exchange regulations, particularly within U.S. markets. This role must be based at the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. What You’ll Do: • Clearing & Settlement: Manage the daily clearing and settlement of futures trades, ensuring accurate and timely processing through the firm’s clearing relationships and exchange systems i.e. CME group and its affiliated exchanges., • Margin & Collateral Management: Monitor margin requirements, process margin calls, and manage collateral movements as well as daily net settlements in accordance with exchange and regulatory guidelines. Maintain segregated balance requirements for affiliates and manage treasury related operations., • Reconciliation/Balancing: Oversee trade, position, and cash reconciliations with exchanges and internal systems to identify and resolve discrepancies. Manage daily balancing of futures activity and positions., • Regulatory Compliance: Ensure all clearing operations adhere to regulations set by the CFTC, NFA, and relevant exchanges (e.g., CME). Prepare regulatory reports and audits as required. Assist compliance with regulatory inquiries and requests related to relevant clearing systems/portals as well as operations procedures, functions, and processes., • Risk Management: Identify operational risks and implement controls to mitigate potential issues related to risk management, clearing, margining, and settlement., • Process Improvement: Develop comprehensive operating procedures and continuously evaluate and enhance clearing workflows to improve efficiency, accuracy, and automation., • Technology & Systems: Work with IT and vendors to onboard, maintain and improve back-office and risk management systems., • Client & Counterparty Management: Serve as the primary liaison with exchanges, management, vendors, and clients to resolve operational issues., • Team Leadership: Lead, manage, and train clearing operations staff, providing training and guidance on best practices as well as processes/functions., • Policies & Procedures: Responsible for creating and updating comprehensive policies and procedures for all aspects of futures trading, clearing and settlement. Requirements What You Bring: • Education: Bachelor’s degree in finance, Business, Economics, or a related field., • Experience: 8+ years of experience in futures clearing, trade settlement, or back-office operations at an FCM, exchange, or clearing firm., • Knowledge:, • Strong understanding of U.S. futures markets and clearing processes., • Familiarity with exchange margining methodologies and risk management principles., • Proficiency with clearinghouse systems (e.g., CME Clearing) and futures back-office platforms., • Skills:, • Excellent analytical and problem-solving abilities., • Effective communication and leadership/management skills., • Proficiency in Microsoft Excel, clearing systems, and risk management tools.Preferred Qualifications:, • Experience with regulatory reporting requirements for FCMs., • Knowledge of automated clearing and reconciliation solutions. What We Offer: • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $125,000 - $155,000. This role is also eligible to participate in our discretionary bonus plan. Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. Warning about fake job posts: Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.