Broker dealer compliance jobs in United States - Page 3

Position Summary The Financial Planner based out of Pittsburgh will be responsible for creating financial plans for clients. The creation of financial plans includes gathering client documents, data entering information into the financial planning software, collaborating with advisors to establi...

Job DescriptionBroker Dealer Compliance Principal | $70K -$100K | Day Shift | Remote / Hybrid | Direct HireWhat Matters Most - Competitive Pay of $70K - $100K; DOE - Schedule: Monday–Friday, 8:00 AM – 5:00 PM - Location: Omaha preferred; Remote friendly - Direct hire opportunity with career ...

Overview Facilitates day-to-day functions with key Touchstone Fund service providers - custodian, liquidity vendor, 22c2 vendor, fund accountant, transfer agent, sub-advisors, prime broker, commission recapture vendors and sub-administrator. Coordinates problem resolution with and between To...

Job Summary: NewEdge Capital Group is a leading financial services organization that provides a wide array of brokerage, advisory and custody services to a diverse national client base of financial advisors and institutions through its various subsidiary companies. With assets under custody or a...

Applicants are required to hold a current FINRA Series 7 and 66 (or 63/65) in order to be considered. ROLE: The Assistant Vice President, Wealth Management Program Manager, is responsible for the overall leadership, strategy, and success of the credit union’s Wealth Management program. This ...

Who we are: Madison-Davis is a leading executive search and consulting firm specializing in financial services. Founded in 1982, we’ve worked with more than 1,000 companies across the finance sector, including commercial banks, investment banks, fintechs, wealth management firms, hedge funds,...

BBVA Securities Inc. (BSI), the U.S. broker-dealer of the BBVA Group, is seeking a highly experienced Senior Project Manager – Engineering to lead complex transformation programs under the firm’s BSI 2.0 initiative. This role is instrumental in enabling the expansion of BSI’s capital markets plat...

At Lemnis Capital, we value your ambition. We work hard to create a culture where you can move forward as fast as you're capable. Our LC Elite Program is an established management track designed to help accelerate your success as a Wealth Management Associate. After completing the necess...

The ideal candidate brings deep knowledge of Pershing NetX360 and strong operational expertise and is comfortable in a client-facing role that requires precision, compliance awareness, and proactive problem-solving. Spanish-English bilingual fluency is strongly preferred. Key Responsibilities: ...

Summary of the position The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report. This includes an assessment of the audited activity, the performance of tests, analysis and controls and the issuance of rec...

Job DescriptionAudit Franchise Manager – Finance & Compliance Type: Direct Hire Schedule: Four Days In/1 Day WFH Site: Euless Texas (Hybrid) Overview: We are looking for a detail-driven and analytical Audit Manager – Finance & Compliance to lead financial and operational audits across our franc...

Job Description Financial Professional Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic If the answer is yes, consider becoming an insurance agent to drive positive impact in the lives of families e...

Job Description Accounting Operations (Staff Accountant I) Summary: LHH Recruitment Solutions is seeking an experienced Operations Accountant who will play a vital role in the financial operations of our client’s organization, particularly in the broker-dealer space. You’ll be responsible for en...

Job Description Financial Professional Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic If the answer is yes, consider becoming an insurance agent to drive positive impact in the lives of families e...

Job DescriptionDescriptionPosition Overview We are seeking a dedicated and detail-oriented Centralized Wealth Advisory Services (CWAS) Associate to join our team. In this role, you will play a pivotal part in providing exceptional support to Financial Advisors and their clients. This role will ...

Job Description Financial Professional: Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic If the answer is yes, consider becoming an insurance agent* to drive positive impact in the lives of families e...

Job Description Job Description We are looking for a Senior CERTIFIED FINANCIAL PLANNER™ Professional to walk alongside our clients, building relationships, and providing experience driven advice. Our Senior CFP® Advisor will be attentive to the needs of the client and the company, communicative...

Job Description We are seeking an Administrative Assistant to join our team in Lakewood, CO! We are a broker-dealer specializing in bond trading and investments located in Lakewood, CO off of Highway 285 looking for an organized & proficient person to assist our Operations team with human resourc...

Job Description The Client Service Associate is critical to appropriately leveraging Advisors’ time, and supports Advisor team including handling all administrative functions for Financial Advisors and the firm. This position utilizes excellent customer service and problem solving skills to confi...

Job Description Are you a highly motivated professional looking to join a dynamic wealth management firm? GreenBridge Wealth Management is seeking a Service Compliance Associate to help maintain and enhance our internal compliance procedures. As a Service Compliance Associate, you will play a key...

Job Description The Wealth Associate position is a client service position who reports to the Wealth Advisor and is critical to leveraging Advisors’ time. This position provides excellent client service and problem-solving skills to confidently provide information to clients in a timely, efficien...

Job Description Priority Financial Group is seeking a high quality, driven, and energetic Financial Advisor to work with one of our top credit union partners. The role of the Financial Advisor is to enhance member and client relationships by providing holistic, planning advice through the sale of...

Job DescriptionDescription: About The Role LInqto Capital LLC is seeking a Chief Compliance Officer who will lead the Compliance team and oversee the related compliance and regulatory functions. The candidate will assume responsibility for assuring compliance with SEC and FINRA regulations as we...

Job Description The Tax Operations Coordinator is responsible for production, delivery and compliance of client annual tax reporting to the IRS , This position is tasked with ensuring that the organization meets our IRS reporting requirements while minimizing organizational risks. The ideal candi...

Job Description Overview of the Company With 46 years of experience, Walton is one of North America’s leading land experts and a premier global real estate investment firm. Founded in 1979, Walton currently manages US$ 4.3 billion of real estate assets in the United States and Canada, with about...

Job Description Position Title: Compliance Principal, The Leaders Group Reports to: Compliance Manager Department: Compliance Location: Littleton, CO; hybrid/remote position Classification: Full-time, Exempt Summary / Job Objective: As a Compliance Principal for The Leaders Group, a Simpl...

Job Description Arena Investors, LP (“Arena”) is a global institutional asset manager that provides creative solutions for those seeking capital in special situations. With more than 180 people across eight global offices and operating in 20 countries, we often provide capital where others won’t....

Job Description Bilingual Financial Professional Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic • Speak Spanish and/or Portuguese/French If the answer is yes, consider becoming an insurance agent to dri...

Job Description Are you passionate about helping others achieve financial clarity and confidence? Join a team that values collaboration, personal connection, and exceptional service as a Securities-Licensed Administrative/Support Advisor. They are a well-established, client-focused wealth and inv...

Job Description Operations Specialist – Broker Dealer Location: Irvine, CA | Reports to: Director of Operations | Status: Full-Time, Exempt | In-office (Remote may be considered) COMPANY PROFILE: The Operations Specialist will join the team at the securities industry’s oldest diversity-certified...

Job Description Role Description This is a full-time, remote Salesforce Administrator/Developer role at Multi-Bank Securities, Inc. The role involves day-to-day tasks including creating and configuring Roles, Profiles, Permissions, and Groups. It will also include extensive work creating Lightin...

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Job Description Front Range Financial is looking for a Financial Advisor to join our team in our Centennial office. This person will actively seek out and engage prospective customers to sell our products and/or services. The ideal candidate is results-driven, hungry for customer acquisition, and...

Job Description Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic If the answer is yes, consider becoming an insurance agent to drive positive impact in the lives of families every day. At New York Life...

We are seeking a visionary and experienced Director of Operations to join our leadership team at Long Bridge Securities, a FINRA-licensed retail broker-dealer firm. The Director will be responsible for overseeing the day-to-day operations, ensuring efficiency, compliance, and a commitment to clie...

Right now, they’re hiring three Compliance Managers to join their team, covering a mix of commercial bank and broker dealer/swap dealer projects. This is a full-time, in-office role offering the opportunity to work with industry leaders on critical compliance initiatives. Assess clients’ complia

Job DescriptionPosition Objective, Typical Duties and Responsibilities We’re currently seeking a Compliance Specialist to support the firm’s Compliance Program. You will report to Manager-Compliance Operations - Develop and manage a Compliance Department activity reporting system. - Represent t...

Job Description Who We are: Cunningham Financial, a growing financial planning firm, is seeking a Client Service Associate to assist us in our mission of helping clients achieve their financial goals. This is an opportunity to play a key role in the future success of our growing high quality org...

Job Description Why We Stand Out Seeking a new challenge where your professional and personal aspirations are not only possible but supported? Kaufman Rossin might be just the place for you! As one of the top accounting firms in the country, our foundation is “people first”. In the words of ...

Job DescriptionSalary: About Us: Diversify Advisor Network is the future of wealth management. Founded by seasoned advisors and industry leaders, Diversify has developed institutional-grade resources, complemented by the personal attention and support that defines a true partnership. We striv...

Job Description Financial Professional Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic If the answer is yes, consider becoming an insurance agent to drive positive impact in the lives of families e...

Job Description At Lemnis Capital, we value your ambition. We work hard to create a culture where you can move forward as fast as you're capable. Our LC Elite Program is an established management track designed to help accelerate your success as a Wealth Management Associate. After completi...

Job Description We’re looking for a licensed compliance specialist that has been honing their craft and is ready to take the next step in their career. We create industry-leading trading software for retail and professional equity traders. We cover the full spectrum of the trading lifecycle. We c...

Job Description Office of the Illinois Secretary of State Alexi Giannoulias Job Title: Securities Examiner I – Securities Department Division: Registration & Licensing Union: IFT Location: 421 E Capitol Ave, Springfield, IL – Sangamon County Salary: $4,007 to $6,515 monthly – commensurate with ...

Job Description Position Title: Financial Advisor Reports to: Partner Department: Sales Location: 6404 International Pkwy, Suite 1600, Plano, Texas 75093 Classification: Full-time; Exempt Summary / Job Objective: The Financial Advisor is a motivated individual who is relationship driven and ...

Job DescriptionThrough its relationship with CUSO Financial Services, L. P. (CFS) Patelco Credit Union is seeking a Manager, Investment Services Program in the Dublin, CA areas. About Patelco Credit Union Patelco Credit Union is a not-for-profit credit union with a purpose to build financial hea...

Job Description Triad Financial Services is a leading provider of financial services and solutions, serving clients Nationwide. We are seeking a highly motivated and skilled Closer/Funder to join our growing team. Bilingual experience in Spanish is ideal but not required for this position. This i...

Job Description About Abacus Global Management, Inc. (ABL): Abacus Global Management, Inc. is a leading financial services company specializing in alternative asset management, data-driven wealth solutions, technological innovations, and institutional services. With a focus on longevity-based a...