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We are currently sourcing for a Software Engineer for CAT Regulatory Reporting Team to work in Jersey City, New Jersey. The Role Software Engineer will be working in development and delivery of high quality, timely and maintainable software solutions in an agile environment which meet functional and non-functional business requirements. This role will involve partner & stakeholder engagement, design and release support. • Designing and implementing technology solutions for the Fidelity Capital Markets Regulatory Reporting business, • Working closely with our business partners to contribute to business-critical initiatives, • Demonstrate software engineering excellence through continuous integration, continuous deployment,, • Keeps current with IT blueprint, frameworks and technologies that would benefit us and improve our productivity; guides junior team members on technology, • Collaborate with multiple stakeholders/large cross functional teams as part of work delivery, • Follows practices and contribute towards innovative solutions to increase productivity, • Bachelor's degree in computer science or related field required, • At least 10 years of software engineering experience, • Strong background in designing and developing large Reporting Platforms., • Extensive experience with KDB+, • Proficient in Linux , python and Java, • Familiar with Control M, • Highly proficient in managing High volume of data set., • Proficient in SQL and a working knowledge of relational and time series databases, • Experience with designing APIs, distributed systems, asynchronous workers and resilient messaging services, • An understanding of microservice architecture and on Prem and cloud-based deployments, • Ability to build reliable software that can withstand unreliable environments, • Can provide leadership and mentorship across small, agile teams in a very collaborative environment where your ideas are welcome, • Solid analytical, communication, and organizational skills, • An interest in and experience with cryptocurrencies and a passion for keeping up to date in the space., • Have the drive and ability to deliver software with a high degree of automation, • Proficient with version control systems and can handle development for multiple releases in parallel, • Have the spirit and willingness to contribute to org level innovation, • Have a learning mindset and is able to demonstrate versatility in addition to your specialization, • Should have the ability to work effectively with both partners and project team members, • Have Knowledge of Agile methodologies or iterative development processes, • Have Knowledge of Acceptance test-driven development a plus., • Have Ability to take ownership, • Coach team members and take accountability for the deliverables, • Excellent collaboration and Interpersonal skills, • Great attitude, being a mentor, team player and effective contributor, • You have Focus on productivity As a Software Engineer you will be an integral part of the Regulatory Reporting team. You’ll get the opportunity to develop your skills, collaborate across Fidelity teams and continue to learn in a fun, collaborative, iterative, and rapidly changing environment. This is a hands-on role where you will write code for product features. It is a great opportunity to build secure, scalable, resilient on Prem and cloud-based services utilizing modern software development practices. You will get the opportunity to develop your skills, collaborate across Fidelity teams and continue to learn in a fun, collaborative, iterative, and rapidly changing environment. The Fidelity Regulatory Reporting Team is responsible for platform services and APIs that report CAT 605 and 606 reporting to FINRA. Platform contains highly advanced KDB software that ingests high volumes of equity and options trading data and generates relevant reports and sends it to FINRA daily. The base salary range for this position is $107,000-216,000 USD per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Information Technology

The Role As the Trading Architect - Execution Algos on the Architecture Team you will design and build software for our trading platform at Fidelity Digital Assets®. This is a hands-on role where you will set technical direction. You will be responsible for turning requirements into service designs and will engage with our chief architect and head of engineering to drive overall architecture of the Fidelity Digital Assets® platform. The Expertise and Skills You Bring * Bachelor’s degree+ in computer science or related field with 15+ years of experience. * Strong background in designing and developing low latency trading systems. * Experience in building market data, SOR, Algo and exchange-connectivity platforms. * Experience using kernel bypass e.g., Solarflare Open Onload. * Extensive experience with modern Java using zero GC patterns. * Highly proficient in ultra-low latency design patterns and optimizing trading systems. * Hands on experience with low latency messaging products, such as Aeron, Solace and 29West. * Knowledge of WebSocket and FIX protocols. * Proficient in SQL and a working knowledge of relational and time series databases. * Experience designing APIs, distributed systems, asynchronous workers and resilient messaging services. * An understanding of microservice architecture and cloud-based deployments. * Ability to build reliable software that can withstand unreliable environments. * Can provide leadership and mentorship across small, agile teams in a very collaborative environment where your ideas are welcome. * Solid analytical, communication, and organizational skills. * An interest in and experience with cryptocurrencies and a passion for keeping up to date in space. The Team Fidelity Digital Assets®, a Fidelity Investments Company, is developing a full-service enterprise-grade platform for storing, trading, and servicing digital assets, such as Bitcoin and Ethereum. Fidelity Digital Assets® embraces an entrepreneurial culture and startup mindset while serving as one of the most innovative business units within Fidelity Investments. Our global, diverse team of hundreds of forward-thinking professionals lead with agility and creativity to build solutions that bridge the gap between traditional institutional investors and their exposure to digital assets. The firm’s tenure and experience across multiple business lines presents our employees with unprecedented access to knowledge, technology, and resources that help our team reshape the future of finance. Within Fidelity Digital Assets®, the Architecture Team is responsible for the technical vision across Fidelity Digital Assets®. The team works with both technology and business teams to design secure, scalable, resilient cloud-based services while ensuring that user requirements are met. Company Overview At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences. For information about working at Fidelity, visit FidelityCareers.com. Fidelity Investments is an equal opportunity employer. Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process. Please email us at ___ or call 800-835-5099, prompt 2, option 2 if you would like to request accommodation The base salary range for this position is $126,000-255,000 USD per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Information Technology

Vice President, Associate General Counsel Summary The FMR LLC Legal Department has a unique opportunity for an innovative attorney to join our Asset Management Legal Team as Vice President, Cryptocurrency and Blockchain role. This role focuses on groundbreaking asset management products and services offerings for digital assets, including cryptocurrency and tokenization. The role will involve coordination and collaboration with colleagues in the Fidelity Digital Asset Management business group, Asset Management Legal team as well as across the larger Fidelity Legal Group, other Fidelity business units, and control function business partners in the structuring and development of innovative cryptocurrency and blockchain enabled products and ideas in support of investment activities, operations, and distribution of products and services across client segments and for the company’s proprietary and employee accounts. The Expertise and Skills You Bring J.D. required, member in good standing with the New York, New Jersey, California, Illinois, New Hampshire, Rhode Island and/or Massachusetts State Bar Associations. A minimum of 7-10 years of relevant experience in the practice of law having a combination of law firm and in house experience. Expertise in U.S. federal securities laws and regulations, including Securities Act of 1933, Securities Exchange Act of 1934, Advisers Act, the Investment Company Act, and the Commodity Exchange Act. Knowledge and experience with the intersection between the blockchain and transfer agency rules for registered fund products a plus. Substantive expertise and business acumen with the following: crypto and blockchain technology applications in financial services that may include stablecoins, crypto custody, trading, staking, payments, and DeFi, tokenization, and related blockchain and smart-contract enabled financial applications and asset management product offerings. Experience with technology startups and new business initiatives a plus. Crisp, clear business partner with oral and written communication skills, in particular the ability to reduce complex legal issues to straightforward, practical analysis and advice. Natural collaborative approach in influencing and devising pragmatic and creative solutions across a variety of issues in a dynamic environment with an entrepreneurial spirit and desire to learn. Ability to build and maintain strong relationships and credibility, internally and externally. Ability to manage outside counsel to provide excellent legal services in a cost-effective manner. Note: Fidelity is not providing immigration sponsorship for this position The Team Provide legal, regulatory, and strategic advice and counsel to our Fidelity Digital Asset Management team on all aspects of Fidelity’s cryptocurrency and blockchain products and services business. Advise Fidelity Digital Asset Management on the development and ongoing operations of asset management products and services involving digital assets and blockchain technology. Advise business and control function partners in the context of new business initiatives, identification of changing laws and implementation of new legal and regulatory requirements in relation to investment products and services-related matters. Evaluate new technology and tools relating to the digital assets and related asset management product offerings. #FidelityAlts The base salary range for this position is $140,000-285,000 USD per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Legal

The Role The Alternative Investments Brokerage Operations role is responsible for processing distributions accurately on behalf of our clients and in a timely manner to mitigate risk and exposure to the organization. These activities are performed daily and require adherence to policies, procedures, and regulatory guidelines. The Alternative Investment Associate is a critical member of the OSG organization. In this role you will be on the phone taking approximately 40-60 inbound calls daily from clients roughly 95% of the day dealing with a range of issues for our customers. The associate will be managing multiple client requests/issues that must be completed within a tight timeframe. The associate will be responsible for monitoring customer adherence to internal guidelines in addition to building and maintaining strong relationships all while providing a superior level of customer service. In this position, the associate will be responsible for having the technical expertise to respond to inquiries on a variety of alternative investment issues. The Expertise and Skills You Bring * 2+ years of brokerage operations experience or 5+ years related work experience preferred * Customer Service experience preferred * Alternative Investments experience is a major plus * College degree preferred * You will possess excellent interpersonal and communication skills (written and oral) to engage with clients and internal partners to provide them with the best service experience * You will identify the clients’ needs, clarify information, research every issue, and offer the best solutions and/or alternatives available * Your strong organizational and time-management skills and ability to prioritize decisions in a fast-moving environment * Your ability to take initiatives to work on adhoc projects when required * Your ability to work and build strong relationships across different teams within the organization * Handling inbound phone calls and emails from clients and assisting them with inquiries regarding AI Products * Identifying clients’ needs; clarifying information provided; researching their issues and providing appropriate solutions or alternatives to solve their queries * Providing clear and concise communication to internal and external business partners * Creating lifetime relationships and playing a meaningful role in the customer experience * Processing alternative investment transactions as required * Tracking and monitoring outstanding issues and providing timely updates to clients The Team Operations & Services Group (OSG) provides superior customer service to Fidelity's Institutional Products Group's businesses through innovation, dedication and commitment to excellence. With eight operating divisions located throughout the country, OSG provides securities execution, clearance, and information management services to retail, institutional, and correspondent clients. OSG performs tens of thousands of over-the-counter, listed equities, options, bonds, and mutual fund transactions daily. An Alternative Investment (AI) is a highly specialized investment vehicle that is tailored to sophisticated, high net-worth investors and are not traded on any public market. Our Alternative Investments group services all Fidelity lines of business and handles end-to-end operations from onboarding of assets, all transactions, reconciliation, and servicing requests. #FidelityAlts The base salary range for this position is $40,000-76,000 USD per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Brokerage Operations

The Role The Alternative Investments Brokerage Operations role is responsible for processing distributions accurately on behalf of our clients and in a timely manner to mitigate risk and exposure to the organization. These activities are performed daily and require adherence to policies, procedures, and regulatory guidelines. The Distributions team is tasked with paying out all dividends, returns of capital, and reinvested shares and processing distribution election changes. The Expertise and Skills You Bring * College degree preferred * Prior experience with alternative investments and distribution experience is preferred * Detail oriented, ability to work effectively with minimal supervision * Team player with capability to help maintain a positive work environment * Strong analytical and decision-making skills * Ability to prioritize and work effectively in a fast-paced environment with multiple deadlines and processes * Exceptional quality and productivity in current role * Ability to handle and resolve complex problems * Strong verbal and written interaction skills including ability to explain complex processes * Effective time management skills and ability to prioritize and multi-task. * Strong PC skills - Word, Excel and Access Note: Fidelity will not provide immigration sponsorship for this position. The Team Operations & Services Group (OSG) provides superior customer service to Fidelity's Institutional Products Group's businesses through innovation, dedication and commitment to excellence. With eight operating divisions located throughout the country, OSG provides securities execution, clearance, and information management services to retail, institutional, and correspondent clients. OSG performs tens of thousands of over-the-counter, listed equities, options, bonds, and mutual fund transactions daily. An Alternative Investment (AI) is a highly specialized investment vehicle that is tailored to sophisticated, high net-worth investors and are not traded on any public market. Our Alternative Investments group services all Fidelity lines of business and handles end-to-end operations from onboarding of assets, all transactions, reconciliation, and servicing requests. The base salary range for this position is $40,000-76,000 USD per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Brokerage Operations

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. This role is eligible for a $5,000 licensing sign on bonus! Sign-on bonus eligibility applies to candidates who apply from March 25 to April 30. This position is fully remote and offers competitive incentive compensation on top of the base pay. The Wealth Solutions Advisor at Empower works with individual consumers in our Investor Services segment to ignite a plan to document and meet financial goals and consolidate assets with Empower. The Senior Financial Advisor utilizes proper licensing, certifications, and industry leading financial tools to develop a deep understanding of customers and provide solutions to improve their financial outlook. In this role, you will not manage a book of business, but will focus on providing solutions to our customers. A successful Advisor quickly and effectively delivers excellent conversations with customers regarding benefits of consolidating accounts to meet financial goals simply and effectively. Success in the role is measured by successful consolidation of outside accounts. What You Will Do: • Cultivate relationships by prudently addressing customer needs, while maximizing the use of Empower products and service benefits available., • Drive scheduled appointments that require one to uncover outside asset opportunities, close on the outside opportunities identified, and seamlessly quarterback the onboarding of outside assets., • Demonstrate holistic knowledge of goal-based planning by presenting solutions for all types of savings goals, including education planning, retirement planning, and other intermediate to long term savings goal planning., • Implement Empower’s conversation model and interactive planning tools to identify participant needs and deliver on appropriate next steps., • Diligently manage time and pipeline to prioritize day based on customer’s needs and likelihood of expanding relationship with Empower., • Govern the process (using SalesForce CRM) to document conversations, follow up appropriately with clients in the processes of bringing over accounts, and effectively follow up on opportunities not yet closed., • Partner with relationship management and advisory teams to prioritize appointments that will consolidate outside assets and seamlessly hand back off to the relationship management team once assets are closed., • Deliver on bi-monthly sales and conversation targets to earn incentive compensation., • Other duties as assigned which may involve some or all of the following: staff meetings, product seminars/training, meeting all federal and state requirements as they pertain to securities and insurance regulations etc., in support of strategic department and firm initiatives. What You Will Bring: • FINRA Series 7, 63, and 65 (or 66) registrations required., • 3+ years of financial industry experience with demonstrated sales success required., • Exceptional listening, verbal, and presentation skills., • In-depth understanding of retail investment vehicles and qualified retirement plans., • FINRA fingerprinting required. What Will Set You Apart: • A passion for helping mass-affluent customers structure and reach intermediate to long term savings goals., • Motivated, self-starter with the drive to thrive in a high velocity, senior sales environment., • Desire to quickly learn and implement new financial tools, computer systems, and conversation expectations., • Team-first and customer-first mentality to preserve and enhance Empower’s phenomenal culture and customer-centric values., • Exceptional organizational and interpersonal skills with a working knowledge of retirement plans. What we offer you We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance. • Medical, dental, vision and life insurance, • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup, • Tuition reimbursement up to $5,250/year, • Business-casual environment that includes the option to wear jeans, • Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year, • Paid volunteer time — 16 hours per calendar year, • Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA), • Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all. Base Salary Range $70,000.00 - $92,500.00 The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Equal opportunity employer • Drug-free workplace We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law. Job Posting End Date at 12:01 am on: 04-20-2026 Want the latest money news and views shaping how we live, work and play? Stay in the know with The Currency and sign up for Empower’s free newsletter. Workplace Flexibility: Remote - Nationwide

The Manager position in Asset Management Risk provides general operational risk oversight for Fidelity Digital Asset Management and related businesses. Responsibilities include gathering important industry, market, and internal data, developing tools to measure risks and trends, and evaluating how these issues may impact Asset Management, our clients, and associates. This role will be accountable for analyzing data and controls to identify emerging and significant risks, perform targeted data-driven risk assessments, and develop risk management reporting using data visualization tools. The ideal candidate will have demonstrated commitment and passion for risk management, asset management, and academic/or work experience in related markets or fields. Candidates with SQL, programming, or data visualizations skills would be a plus. Strong communication, presentation and writing skills are also an important success factor. This role requires someone who is hard-working, eager to learn, and results oriented. * Analyze data and controls as well as identifying latent and emerging risks. The results of this analysis will be compiled into comprehensive management reports, including visual aids, analysis of data analytics and conclusions. * Actively perform proactive and targeted data analysis to identify risks for management. * Perform ad-hoc quality control reviews for presentations and reports built by the team to ensure the integrity of the materials. * Partner with business units to ensure that controls are working as intended and to improve the efficiency and effectiveness of processing. * Bachelor’s degree required * 5+ years of relevant work experience in the financial industry, crypto experience preferred * Experience in Compliance, Risk, or Operations related to crypto/blockchain products, data, services * Demonstrated analytical skills with the ability to work with and summarize data from multiple sources * Experience working with blockchain technology or related enterprises * Executive level presentation skills required * Project management experience * Experience with data analysis techniques and visualization tools (e.g., Tableau), a plus * Experience with common data science tools & languages, a plus * CFA and/or FRM certifications a plus * Foundational understanding of blockchain technology * Ability to engage with multiple teams to establish a collaborative and interdisciplinary approach * Natural intellectual curiosity, initiative, and love for learning new skills and capabilities * Skilled at operating autonomously to achieve results in a dynamic environment * Thrives in a dynamic organization where priorities shift to meet evolving business needs * Superb verbal and written communications skills * Strong data analysis skills (e.g., tools, strategies) * Staying abreast of the latest innovations across industry * Problem solver with a blend of creativity and analytical rigor Asset Management Risk, part of Fidelity’s Risk organization and aligned with Asset Management’s Compliance Risk and Business Operations Group (CRBO), provides guidance to management and business units by proactively identifying and monitoring risks to protect the interests of the firm, its clients, and associates. To execute this goal, Asset Management Risk is responsible for identifying, analyzing, aggregating, and reporting on significant and emerging risks to assist management in strengthening their controls and processes. The base salary range for this position is $80,000-$153,000 per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Risk

The Role We are seeking a visionary executive leader to architect, build, and scale the operating platform that will power the future of digital asset investments and on-chain finance — spanning tokenized funds and financial assets, digital asset portfolios, on-chain investments and financial activities, and blockchain-native financial products. This role will lead the design and implementation and ongoing operation of the end-to-end infrastructure for the digital assets fund and portfolio investment services ecosystem, including accounting and valuation, portfolio and fund administration, and transfer agency, integrating blockchain infrastructure with institutional-grade controls, data architecture, and governance across both on-chain and off-chain environments. The successful candidate will combine deep operational expertise in traditional investment accounting and fund and portfolio administration and transfer agency with hands-on experience building blockchain and on-chain financial infrastructure. This candidate will also have a proven ability to lead organizations through complex, multi-stakeholder change. Key Responsibilities Strategic Platform Architecture * Define and execute the multi-year strategic roadmap for the digital asset operating platform — integrating fund administration and transfer agent, and portfolio-accounting functions with blockchain-based systems. * Architect the core infrastructure stack for digital asset investments, tokenized funds and financial assets — including modules for on-chain accounting, valuation, NAV calculation, fund administration, and transfer-agency services. * Design core ledger, data, and oracle frameworks that reconcile off-chain financial records with on-chain smart-contract and blockchain data. * Establish the technical and operational foundations for on-chain accounting, NAV calculation, investor servicing, and settlement. Organizational Design & Leadership * Build and lead multidisciplinary teams across operations, product, technology, accounting, data management, risk, and compliance to deliver the platform vision. * Design and implement organizational and governance structures and operating charters appropriate for digital asset and on-chain financial environments. * Recruit and mentor talent across finance, blockchain, and operations disciplines, fostering a culture of innovation, control, and accountability. * Implement decision-making frameworks and escalation paths that enable agility while maintaining strong institutional governance. Governance and Controls, Technology, Infrastructure & Integration * Lead design and implementation of on-chain fund-accounting and investor-record systems, integrated with enterprise data and record-keeping standards, fund-administration and transfer agent platforms. * Oversee development of accounting and back office administration infrastructure supporting digital asset trading, custody, staking, and yield activities. * Define policies for smart-contract deployment, private-key management, cyber resilience, and operational continuity. * Ensure audit readiness and regulatory compliance aligned with applicable regulatory agencies and authorities, including SEC, CFTC and equivalent global standards. * Establish data-governance, reporting, and control frameworks to ensure transparency, accuracy, and traceability across funds and portfolios. * Champion tokenization frameworks for different asset classes and product structures, including money-market funds, private credit, private equity, ETFs, and structured finance, and interoperability across blockchains. Cross-Functional Leadership & Stakeholder Management * Operate effectively within a large, matrixed organization, aligning functions across technology, operations, investment management, finance, risk, and compliance. * Navigate consensus-oriented cultures, build credibility, and drive alignment among multiple senior stakeholders and governance bodies. * Communicate with clarity across executive committees, board forums, and regulatory stakeholders to secure buy-in for digital-asset platform and product initiatives. * Serve as the internal bridge between traditional and blockchain-native teams, ensuring integrated business design and operational discipline. Industry & Ecosystem Engagement * Represent the firm in industry and regulatory working groups, shaping standards for tokenized fund and digital asset operations. * Establish strategic partnerships with custodians, administrators, oracle providers, and blockchain infrastructure firms. * Provide thought leadership on the future of on-chain fund services, digital-asset governance, and tokenized capital markets. Qualifications Professional Experience * 15+ years of progressive leadership experience in asset management, fund administration, or financial-operations roles, including at least 5 years in digital-asset, cryptocurrency, or blockchain-based finance. * Proven record of designing and implementing large-scale operating platforms supporting both traditional and digital assets. * Direct experience building and scaling teams and organizations, including defining structure, roles, processes, and performance governance. * Demonstrated success working across large, matrixed organizations with multiple senior stakeholders in a consensus-driven culture, achieving alignment and results. * Deep expertise in fund accounting, valuation, investor servicing, and transfer agency for traditional investment products. * Proven track record building infrastructure for cryptocurrency investment operations, including wallet management, custody, settlement, and on-chain reconciliation. Technical & Strategic Competencies * Strong understanding of blockchain architecture, smart-contract design, tokenization standards, and interoperability protocols. * Familiarity with DeFi primitives (staking, liquidity pools, lending protocols) and their integration into institutional frameworks. * Expertise in designing data architecture, reconciliation, and control frameworks. * Proven ability to translate strategic vision into executable programs through structured governance, roadmap execution, and stakeholder management. Leadership Attributes * Visionary yet pragmatic leader who combines strategic insight with operational execution. * Exceptional communicator capable of aligning diverse senior stakeholders around a common mission. * Deep curiosity about how blockchain transforms investment operations and a disciplined approach to risk and compliance. * Strong sense of ownership and commitment to building institutional infrastructure for the next generation of finance. The base salary range for this position is $185,000-$400,000 per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Investment Operations

Manager, Asset Management Risk (Crypto) Note: Fidelity is not providing immigration sponsorship for this position. The Manager, Asset Management Risk (Crypto) is responsible for delivering operational risk oversight for Fidelity Digital Asset Management and its related businesses. In this role, you will work across business, technology, product, legal, compliance, and operations to assess operational readiness for launching innovative crypto and blockchain products. You will evaluate, communicate, and manage operational risks associated with digital-asset initiatives and emerging regulatory developments, while developing tools and analytics to monitor operational risks across Fidelity’s digital‑assets ecosystem. The ideal candidate brings experience shaping end‑to‑end product operating models, identifying control gaps early, and partnering closely with product teams to embed strong risk and control practices throughout the product lifecycle. They possess deep technical and business expertise across blockchains, token standards, cryptocurrency products and services, and the broader DeFi ecosystem, paired with exceptional communication, presentation, and writing skills. We are seeking a strategic problem solver with a consulting mindset, creativity, analytical rigor, outstanding organizational skills, and meticulous attention to detail. The candidate should also demonstrate an entrepreneurial mindset—proactively seeking answers, driving resolution in ambiguous environments, and navigating novel blockchain‑related risk concepts with confidence. They must be comfortable operating amid uncertainty, independently exploring solutions, and shaping frameworks where established guidance may not yet exist. • Support the development and launch of innovative new products involving crypto and blockchain technology in a risk-managed way, • Perform proactive and targeted data analysis and risk assessments to identify risks for management., • 5+ years of relevant work experience, ideally building crypto/blockchain products and services, • Deep understanding of blockchain features and capabilities, including but not limited to: • Blockchain transactions and the ability to conduct blockchain analysis, with experience in trade execution, settlement, and reconciliation processes for crypto assets, • Blockchain Architecture (L1s, L2s, cross-bridges, and oracles), • Crypto market structure (trade execution venues, derivatives market, regulatory frameworks, and liquidity providers), • Tokenization (on-chain asset creation, token standards, use cases, operational considerations), • Smart Contracts (vulnerabilities, permission structure, interpreting audit reports), • Staking (e.g., delegation models), • Crypto custody (hot/cold wallets, private key management, and working knowledge of multi-signature vs multi-party computation arrangements) • Strong interpersonal skills, with a demonstrated ability to partner and influence across the organization and collaborate in an interdisciplinary fashion, • Dexterity in cultivating close working relationships with business, technology, operations, legal, and compliance teams, • Comfort navigating ambiguity and working in a high-growth, fast-paced environment, • Demonstrated ability to operate autonomously to achieve results in a dynamic organization where priorities shift to meet evolving business needs, • Executive level presentation skills, • Natural intellectual curiosity, initiative, and love for learning new skills and capabilities, with a desire to stay abreast of the latest innovations across the industry, • Financial services experience, in combination with the skills mentioned above, is preferred, • Project management experience a plus, • Experience with data analysis techniques and visualization tools (e.g., Tableau), a plus, • Experience with common data science tools & programming languages, a plus, • CFA and/or FRM certifications a plus Asset Management Risk, part of Fidelity’s Risk organization and aligned with Asset Management’s Compliance Risk and Business Operations Group (CRBO), provides guidance to management and business units by proactively identifying and monitoring risks to protect the interests of the firm, its clients, and associates. To execute this goal, Asset Management Risk is responsible for identifying, analyzing, aggregating, and reporting on significant and emerging risks to assist management in strengthening their controls and processes. The base salary range for this position is $80,000-$153,000 per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of ___ to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position. Risk

Our client, a top financial company with offices in NYC, is seeking a temporary Senior Managing Counsel/Finance Contract Attorney for its team on a hybrid basis. (4x per week) This role will support our client's Fixed Income and Equities (FIEQ) institutional sales and trading businesses. A successful candidate will work closely with senior business managers involved in an array of broker-dealer and bank services including institutional trading of equity and fixed income securities, ETFs, equity and debt capital markets, municipal securities offerings, and outsourced trading. Experience in the prime brokerage space would be very helpful. This role is located in Pittsburgh PA, Lake Mary FL or New York NY. In this role, you’ll make an impact in the following ways: • Providing advice and assistance to business, Credit, Risk and Compliance partners concerning legal, regulatory and reputational issues arising from FIEQ businesses., • Advising on new markets, new product and service development, and strategic business initiatives., • Working closely with business managers and company control functions (Compliance, Credit, Risk, Legal) to ensure understanding of the bank's regulatory and contractual obligations;, • Drafting, reviewing and negotiating legal contracts and other documents;, • Monitoring, interpreting and communicating on proposed regulations and their application to the business;, • Overseeing and managing the retention of outside counsel on business initiatives and other matters; and, • Maintaining an understanding of global regulatory issues impacting the business through engagement with APAC and EMEA colleagues. To be successful in this role, we’re seeking the following: • Law degree (J.D.) and licensed to practice law in New York Pennsylvania or Florida, • Minimum 12 years of experience at a law firm and/or large financial institution covering fixed income and equity sales and trading activities, • Experience with industry standard trading agreements, • Knowledge of current regulatory issues impacting institutional sales and trading and capital markets businesses., • Excellent verbal and written communication skills and the ability to interact professionally with a diverse group of executives, managers, and subject matter experts An ideal candidate has trading desk support, ETF experience, Muni experience, market trade experience, familiarity with the 33/34 act, and familiarity with FINRA. Comp - $100/hour+ depending on experience

Public Companies • Micro-Cap & Small-Cap • PIPEs • Uplisting • M&A • SEC Compliance Hybrid / Remote | Entrepreneurial Platform We are representing a fast-growing, entrepreneurial corporate and securities law firm that operates at the intersection of capital markets, M&A, and growth-stage public companies. The firm is a recognized leader in micro-cap and small-cap public company transactions, advising U.S. and international issuers, investors, placement agents, and funds on complex financings, exchange listings, and strategic transactions. This is an opportunity for a deal-running securities lawyer who understands how capital is raised and transactions are closed in the lower-middle-market public company ecosystem — not just blue-chip IPOs. The Practice The firm serves as outside general counsel and capital-markets quarterback to micro-cap, small-cap, and growth-stage public companies seeking access to U.S. capital markets and institutional investors. The platform handles: • Reverse mergers and alternative public offerings, • PIPEs, structured equity & convertible debt financings, • Uplisting from OTC, TSX, AIM, and other markets to NASDAQ or NYSE, • Initial and secondary public offerings, • Resale registration statements and follow-on financings, • Public company M&A, asset sales, and strategic investments What You’ll Do You will act as lead capital-markets and securities counsel on high-volume, deal-driven matters, including: • Structuring and documenting PIPEs, registered directs, and private placements, • Drafting and reviewing S-1s, resale registration statements, 10-Ks, 10-Qs, 8-Ks, and prospectuses, • Managing NASDAQ, NYSE, SEC, and FINRA processes tied to uplistings and financings, • Advising boards and management on corporate governance, disclosure, and fiduciary duties, • Supporting M&A and recapitalization transactions tied to capital raises Who This Is For This role is ideal for a senior associate, counsel, or junior partner who: • Has 7–10+ years of securities and capital markets experience, • Has worked with micro-cap, small-cap, or growth-stage public companies, • Is comfortable running PIPEs, reverse mergers, uplistings, and follow-on offerings This firm is built around closing transactions in difficult capital markets, offering: • Direct relationships with funds, placement agents, and exchanges, • Creative fee structures (flat, hybrid, equity-based) aligned with deal success, • Deep experience in thinly-traded and cross-border issuer markets, • Real business-development opportunity with capital-hungry clients If you are a capital-markets attorney who understands the micro-cap and small-cap ecosystem and wants to run deals in a platform built for transaction velocity and client growth, we welcome a discreet conversation. Apply to start a confidential discussion.

About OneChronos () OneChronos is a technology company innovating at the intersection of capital markets, mechanism design, and AI, designing and operating matching markets that process billions of dollars in securities transactions daily. Our legal function is a genuine partner to the business - not a gatekeeper. We are seeking an Associate General Counsel to support our Chief Legal Officer across the full spectrum of legal matters that come with building and operating a technology company at the frontier of capital markets. This is a generalist role with real autonomy. You'll own meaningful workstreams from day one, not just support them. What You'll Do You'll work closely with our Chief Legal Officer as a true thought partner, supporting them across virtually every part of the business. Responsibilities include: • Drafting, reviewing, and negotiating a broad range of commercial agreements including technology, data, and vendor contracts, in close partnership with business and engineering teams, • Supporting regulatory relationships and documentation across SEC, FINRA, and offering support to our global team on relevant frameworks, while monitoring the evolving regulatory landscape and advising the business accordingly, • Managing entity governance across jurisdictions, including board matters, resolutions, and corporate records, with support on financing or strategic transactions as the business grows, • Advising on employment matters across US and international jurisdictions, supporting the business and talent team on hiring, performance, policy, and employee relations, • Protecting and managing OneChronos's IP portfolio and advising on open source, licensing, and technology agreements in a software-first business, • Supporting the firm's data privacy compliance program across GDPR, CCPA, and other applicable frameworks, partnering with engineering and operations on privacy-by-design, • Partnering with outside counsel relationships selectively, ensuring quality and cost efficiency across specialized matters Who You Are • JD from an accredited law school required; NY bar admission or eligibility required, • 5+ years of experience as a corporate attorney, ideally with a mix of law firm and in-house experience, • A genuine generalist, comfortable moving across regulatory, commercial, employment, governance, and privacy matters without missing a beat, • Detail-oriented, with a high bar for clarity and precision in everything you write and review, • Someone who works independently, exercises sound judgment, and knows when to bring others in, • Energized by a fast-moving, technically sophisticated environment where the legal function is a true partner to the business, • Experience in financial services, trading, or regulated industries a plus OneChronos is committed to equal employment opportunities to all employees and applications regardless of academic area of study, race, color, religion, creed, age, national origin or ancestry, ethnicity, sex, sexual orientation, gender identity or expression, disability, military or veteran status, or any other category protected by federal, state or local law.

Lead Advisor is a wealth management consulting and search firm. This role is for a client based in Midtown Manhattan but open to a hybrid schedule. Core Responsibilities · Serve as a primary point of contact for clients · Coordinate and execute onboarding of new clients, including account setup, documentation collection, CRM entry, and ensuring a seamless transition into the firm · Coordinate and schedule client meetings in accordance with the firm segmentation and service model · Prepare and review client meeting materials to ensure all supporting documents and deliverables are complete and organized in advance of client meetings · Coordinate responses to inbound client communications by addressing account and policy related inquiries or directing them to the appropriate team member for resolution · Maintain accurate and comprehensive CRM records in accordance with Helios Capital Partners’ guidelines and procedures Key Characteristics · Excellent organizational skills and attention to detail with high follow-through · Excellent verbal and written communication and interpersonal skills · Approachable, respectful and inclusive communication · Ability to give and receive constructive feedback · Proficient in Microsoft Office suite or related software · Proficient in Microsoft CRM or related software · Strong desire for personal and professional growth · Ability to maintain confidentiality · Full time – hybrid role Qualifications Required · Bachelor’s degree ideally in business administration, accounting, finance or equivalent work experience · Life, Accident and Health license and FINRA SIE, Series 6 or 7 and 63 licenses Preferred · 2-5 years in wealth management or investment management industry Salary Range · $60K-$85K plus bonus (depending on experience) 2 days in midtown 60-85k

Title: Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location: New York, NY or San Francisco, CA Compensation Range: $110,000 – $150,000 base salary (dependent on experience) plus generous year end bonus and 100% benefits Job Overview: A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program. This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-oriented compliance culture. The position offers meaningful exposure to regulatory matters, internal stakeholders, and senior compliance leadership in a fast-paced investment environment. Highlights: • High-impact role within a global private equity platform, • Exposure to SEC filings, examinations, and marketing rule compliance, • Collaborative, business-focused compliance environment, • Opportunity to work closely with investor relations and marketing teams, • Conduct internal compliance testing to assess policy effectiveness and regulatory adherence, • Coordinate with external compliance consultants on periodic reviews and examinations, • Support preparation and filing of regulatory filings (e.g., Form ADV, 13F, PF, CFTC filings), • Assist with proxy voting oversight, • Review marketing materials and social media content for compliance with SEC Marketing Rule, • Support SEC examinations and regulatory inquiries, including document collection and response drafting, • Research regulatory developments impacting private fund advisers, • Bachelor’s degree required, • 3–5 years of compliance or related experience at an RIA or broker-dealer preferred, • Working knowledge of compliance testing and SEC regulatory requirements, • Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred, • Strong organizational, analytical, and communication skills, • Ability to manage priorities in a fast-paced, dynamic environment, • Strong interpersonal skills and ability to work independently or as part of a team

Training & Development Manager Financial Services | On-Site Our client, a well-established financial services organization, is seeking a Training & Development Manager to support the professional development of financial representatives early in their careers. This role focuses primarily on representatives within their first five years in the business, with particular emphasis on those in their first year. The Training Manager will collaborate closely with senior leadership including the Director of Training, Director of Development, Chief Growth Officer, and Network Office leadership to implement structured training initiatives, coordinate development programs, and support the continued growth of financial representatives and their teams. Key Responsibilities • Support financial representative candidates through required training and onboarding processes, • Serve as the primary contact for candidate questions to ensure a smooth onboarding experience, • Coordinate with Recruiting and Contracting teams to manage onboarding requirements and timelines, • Assist in organizing and facilitating key training programs, including Basics Day and other office learning initiatives, • Schedule and coordinate internal and external subject matter experts for training sessions, • Work with leadership to develop and maintain the annual training calendar and ensure communication across the organization, • Support weekly training sessions, study groups, network office training events, and special learning programs, • Coordinate training logistics including pre-work assignments, preparation of faculty, session facilitation, and follow-up activities, • Monitor activity expectations for financial representatives in their first 6–12 months and provide coaching to support performance and accountability, • Track productivity metrics and partner with leadership to monitor development progress, • Support financial representatives preparing for FINRA licensing exams by assisting with study plans and accountability, • Bachelor’s degree required; degree in Adult Education, Business Administration, or related field preferred, • Minimum two years of experience developing or facilitating training programs, • Experience in financial services and/or a sales-driven environment strongly preferred, • Strong presentation and instructional facilitation skills, • Ability to build relationships and work effectively with professionals at all organizational levels, • Excellent organizational skills with the ability to manage multiple priorities, • Strong analytical and problem-solving skills with a high level of attention to detail, • Must obtain Health & Life Insurance License within the first three (3) months of employment Salary: $85,000 – $90,000

Optima Partners is looking for an Associate Consultant to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers. Considered Candidates Will: • Support a large portfolio of clients as the primary day-to-day oversight resource, • Have familiarity for practical compliance and regulatory matters relating to SEC (e.g., Advisers Act), • CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plus, • Have familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews / interviews and drafting reports, • Demonstrate the ability to support with compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a-1 reviews, etc., • Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion, • Be up to date on current regulatory developments and will to remain abreast of new developments on the horizon, • Have experience with ADVs / Form PFS and other regulatory filings Requirements: • Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus, • MUST HAVE 2+ years of total compliance industry experience working at one or more: Hedge fund/ Private Equity /Venture Capital/Credit/Real-Estate/ BDC / asset / investment managers (in-house), advisory services firm or ex. regulator, • Strong interpersonal skills, ability to independently (or as part of a team) work on-site at a client office, • Excellent written and verbal communication skills, • Strong analytical and research skills, • Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment, • Ability to master new tasks quickly and effectively, • Must have the ability to start with limited restrictions The role is a hybrid role. Candidates can be located in New York Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability.

Assistant Vice President – Equities Compliance Cantor Fitzgerald is seeking an Assistant Vice President, Equities Compliance to provide regulatory guidance and compliance oversight to its Equities businesses. This Line 2 role is ideal for a compliance professional with up to five years of experience who is ready to take on increased responsibility, partner closely with the business, and grow within a globally recognized financial services firm. The role offers meaningful exposure to equities trading activities, regulatory engagement, and firm-wide initiatives, within a collaborative and fast-paced environment. As an AVP in Equities Compliance, you will: • Serve as a compliance advisor to Equities business units, providing guidance on U.S. securities regulations, firm policies, and industry best practices., • Support the implementation and maintenance of compliance frameworks aligned with SEC, FINRA, and other regulatory requirements., • Partner with business, legal, risk, and operations teams to provide compliance input on new products, initiatives, and process changes., • Monitor and assess regulatory developments impacting equities businesses and assist with updating policies and procedures as needed., • Support regulatory examinations, inquiries, and audits, including preparation of responses and coordination with internal stakeholders., • Assist in the enhancement and execution of surveillance, monitoring, and testing programs to identify and mitigate compliance risks., • Participate in risk assessments, issue tracking, and remediation efforts to address control gaps and regulatory findings., • Contribute to the development and delivery of compliance training to promote awareness and a strong compliance culture., • Collaborate across Compliance and the broader firm to ensure alignment with Cantor Fitzgerald’s business objectives. Qualifications • Approximately 3–5 years of experience in compliance, legal, or regulatory roles within the equities or capital markets space., • Solid understanding of U.S. securities laws, FINRA and SEC rules, particularly those related to equities trading and market access., • Experience supporting regulatory interactions, including exams or inquiries, preferred., • Strong analytical and problem-solving skills with the ability to translate regulatory requirements into practical guidance., • Excellent written and verbal communication skills, with the confidence to engage business stakeholders., • Bachelor’s degree required; JD, MBA, or equivalent is a plus., • Series 7 required; Series 24 or ability to obtain within a reasonable timeframe preferred., • Detail-oriented, proactive, and able to manage multiple priorities in a dynamic environment., • Collaborative mindset aligned with Cantor Fitzgerald’s entrepreneurial and performance-driven culture. Why Cantor Fitzgerald? At Cantor Fitzgerald, you’ll gain hands-on exposure to front-line compliance advisory work within a globally active equities platform. This AVP role offers the opportunity to deepen regulatory expertise, build strong business partnerships, and advance your compliance career in a firm that values initiative, accountability, and professional growth.

Toss Securities US LLC (TSUS), a U.S. broker-dealer affiliate of Toss Securities, recognized as one of the fastest growing brokerages in Korea and a leading firm in overseas stock commission revenue, has recently opened its New York office as part of Tossʼs global expansion. Toss is widely regarded as one of Koreaʼs most innovative fintech brands, and TSUS is actively building its U.S. trading operations under FINRA regulation. We are seeking experienced Compliance Manager to join our growing team. This role offers an exciting opportunity to contribute to the expansion of a dynamic brokerage firm while advancing your career in the U.S. financial markets. Key Responsibilities • Support the CCO in establishing and operating a comprehensive broker-dealer compliance program, with ownership of day-to-day implementation aligned with FINRA, SEC, and applicable state rules., • Draft, maintain, and implement Written Supervisory Procedures (WSPs), Compliance Manual, and related program documents., • Own day to day compliance operations, including intake, tracking, and resolution of compliance items., • Oversee and manage TSUS’s continuing education program, including planning, tracking, and regulatory reporting requirements., • Plan and execute annual compliance meetings and certifications, including FINRA Rule 3130 reports management for annual CEO certification, • Coordinate the management of the firm’s BCP with the Chief Compliance Officer, • Coordinate and support with required regulatory filings and reporting (e.g., FINRA Gateway tasks, annual compliance report support, AML documentation, etc.)., • Prepare for and oversee regulatory exams, audits, and inquiries; organize production materials and coordinate responses under CCO direction., • Track, manage, and drive remediation of exam findings to closure., • Conduct ongoing surveillance of trading, communications, marketing, and operational activities; escalate red flags with clear recommendations., • Perform periodic testing of supervisory controls and compliance processes; document findings, remediation plans, and follow-through., • Maintain logs and evidence for supervisory reviews and compliance attestations., • Manage third party vendor oversight, ongoing monitoring, vendor risk management, and due diligence., • Support implementation and operation of the AML program, including CIP/KYC monitoring, OFAC checks, SAR escalation workflows (as applicable), and annual AML testing coordination., • Review and assess escalations tied to customer due diligence, suspicious activity, or sanctions screening. Qualifications 5-10 years of experience in brokerage and trading Bachelorʼs degree in a related field, or equivalent experience and training FINRA Series 7 license required Equal Opportunity Employer Toss Securities US is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or veteran status.

Position: Senior Project Manager Location: Jersey City, NJ, 07310 Duration: 12 Months Job Type: Temporary Assignment Work Type: Onsite Shift: 8:00am to 5:00pm Payrate:$ 70.00 - 80.00/hr. Overview: TekWissen is a global workforce management provider headquartered in Ann Arbor, Michigan that offers strategic talent solutions to our clients world-wide. Our client is a company who is a provider of banking and financial services. The company operates through two divisions, Retail Banking and Services, and Corporate and Institutional Banking. Overview: DRIVE Project Implementation Americas is building its core expertise in managing transversal and transformation projects across all Global Markets & Global Banking Business Lines. We seek a project manager with strong functional/business knowledge, regulatory compliance expertise, and deep understanding of Banking (corporate loans) and Capital Markets. Familiarity with Client’s culture/operations is a plus. Responsibilities: Project Management: • Manage and lead assigned projects to completion with delivery of agreed objectives, • Ensure that all projects follow Group Policies and Procedure – including proper Project Governance and reporting to senior management & stakeholders, • Create and lead appropriate project governance, • Identify and stabilize the scope of business topics to be addressed / resolved, • Identify and obtain the buy-in from the Primary Project Stakeholders and Sponsor, • Secure the resource plan and prioritization / funding of those resources, • Leverage expertise and problem-solving skills to propose solutions during each phase of the project, • Drive the delivery effort by maintaining project lists, organizing follow up meetings, creating and distributing meeting minutes, • Identify risk and dependencies that could jeopardize project execution., • Ensure clear communication of goals, budget, risks, efforts involved, as well as on the progress of the project, • Work closely with all functions - Front office, Operations, Finance, IT, Compliance, Legal, Risk etc. to ensure successful delivery of project objectives., • Elicit business requirements using interviews & subject matter expertise, • Document requirements, business process descriptions, use cases, scenarios, task and workflow analysis, • Critically evaluate information gathered from multiple sources, reconcile conflicts, & decompose high-level information into details, • Abstract up from low-level information to a general understanding, and distinguish user requests from the true underlying needs, • Proactively communicate and collaborate with external and internal customers to deliver the following artifacts as needed: (1) Business Requirements Documents, (2) Test & Use Cases, • Analyse the current procedures and make change proposals to improve productivity, efficiency and risk control, • Work with various users to clearly identify business requirements – from Front Office to Finance., • Collaborate with IT to ensure that the system functionalities meet the user requirements., • Propose procedural changes to take advantage of the new system functionalities., • Bachelor’s degree from accredited university with focus on Finance, Economics, Business Administration or other relevant field of study., • 6 – 8 years of relevant industry experience., • Expertise in Front Office and Operations (functional or in a project capacity), with knowledge of Banking and Capital Market activities, • A keen focus on ‘Process and Risk’ awareness is a KEY CRITERIA for this position., • Deep knowledge of & experience executing all project management concepts., • Project planning, documentation experience, & stakeholder management is essential, • Excellent level of knowledge of MS Project, Excel, Word, and PowerPoint., • Must have an in-depth understanding of project life cycle and what each phase implies., • Must have excellent communication and reporting skills – Both written and oral., • Must be able to professionally and efficiently manage situations of conflict and work with collaborators to arrive at a solution., • Needs to demonstrate the ability to adapt and learn new processes quickly., • Needs to show ability to multi-task and shift gears for various topics and perimeter during the project life cycle (i.e. Knowledge of FO Products and processes, Operations, IT, Finance etc.)., • Results and Impact, • Impacts division and influences peers and team, • Demonstrates good judgement when making decisions of high complexity and impact, • Relies on limited guidance for most complex decision making, • Is responsible for driving outcomes which have meaningful effect on team or department, • Leadership and Collaboration, • Creates trust with department leaders, • Acts in leadership capacity for large projects, processes, or programs for a team, • Client, Customer and Stakeholder Focus, • Able to build relationships with a mix of intermediate and senior colleagues or clients, • Interacts regularly with management and department leaders, • Demonstrates the ability to persuade and influence stakeholders at team level, • Compliance Culture and Conduct, • Takes full responsibility for personal actions and demonstrates courage in facing problems and conflicts CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): Not Applicable SEC Security-Based Swap Dealer Associated Person: Not Applicable TekWissen® Group is an equal opportunity employer supporting workforce diversity.

Equitable Advisors is dedicated to making a positive impact in the lives of its clients. Our network of over 4,300 financial professionals across the U.S. is committed to fostering relationships that help people achieve meaningful financial wellness. In total, Equitable Advisors serves 2.4 million clients nationwide. Our mission is simple: to make a difference in the lives of others. If you are passionate about helping individuals and families reach their financial goals, Equitable Advisors offers a structured path to becoming a wealth manager through licensing and employment. Role Highlights • Client Engagement: Build and nurture client relationships through networking events and portfolio management, ensure consistent communication and progress tracking, • Financial Strategy Development: Understand clients' financial objectives and risk tolerance to devise personalized strategies, offering clear recommendations and guidance, • Product and Service Consultation: Discuss financial products and services tailored to clients' unique situations, • Location: In-office presence required, • Work-Life Balance: Flexible schedule to maximize productivity and personal time Skills & Experience • Education: Bachelor's degree or equivalent skills and work experience, • Licensing: State Life & Health, SIE, Series 7, Series 66, • Personal Attributes: values-driven with a track record of success and accomplishment, • Communication Skills: excellent interpersonal and communication abilities with strong self confidence, • Mindset: entrepreneurial spirit with a desire to positively impact others' lives, • Collaboration: ability to work with and learn from top performers, • Work Authorization: must be authorized to work in the United States Training & Development • FINRA Sponsorship: provided for required FINRA licensing, • Preliminary Employment Period (PEP): comprehensive 120-day hands-on training, • Virtual University: access to Equitable Advisors' Virtual University for continuous learning, • Mentorship: opportunities for joint work and mentorship, • Personalized Coaching: Benefit from the training and guidance of a local Vice President who will assist you throughout your journey, offering valuable insights and support to help you succeed, • Leadership Development: access to Leadership Development School for those with management ambition, • Professional Growth: encouragement to pursue professional designations such as CERTIFIED FINANCIAL PLANNER™ (CFP®), Chartered Financial Consultant (ChFC) and Equitable Advisors’ own Credentialed Holistic Financial Coach program Compensation & Benefits • Sign-On Payment Eligibility: $250-$1,000 after signing the PEP agreement, based on a 120-day timeline for successful completion of company sponsored required FINRA licenses and registrations., • Stable Pay: After successfully completing PEP, you will be eligible to become a 20th Edition financial professional. Equitable Advisors supports you with biweekly stable pay for up to your first 24 months as a financial professional, empowering you to establish your career in wealth management. Stable pay is based on a structured 40-hour workweek with $34,500 annually., • Commissions and Bonus: In addition to Stable Pay, financial professionals are eligible to earn commissions and bonus., • Benefits Eligibility: Eligible financial professionals can participate in our comprehensive benefits programs including health, dental and vision, 401(k); Employee Stock Purchase Plan (ESPP); disability; life Insurance; and Transportation Reimbursement Incentive Program (TRIP), each subject to the terms and conditions of the applicable program, as may be in effect from time to time. Our Impact & Culture Equitable Advisors is committed to making a difference in the lives of its people and their communities. We value diversity and inclusivity, offer wellness programs and employee resource groups. Our commitment to being a Force for Good is reflected in programs like "1,000 Hours of Giving Back," sponsored by our Women’s Network, and “Equitable Excellence,” which awards 200 college scholarships annually. Join us to be part of a workplace culture dedicated to social impact and community engagement. We are always seeking to attract top talent and expand our community of Financial Professionals. This position is part of our ongoing recruitment efforts, and applications are welcome at any time without a set deadline ensuring that we remain open to exceptional candidates whenever they are ready to apply. Equitable Advisors, LLC, member FINRA, SIPC, (Equitable Financial Advisors in MI and TN) and affiliate, Equitable Network, LLC, (Equitable Network Insurance Agency of California, LLC; Equitable Network Insurance Agency of Utah, LLC; Equitable Network of Puerto Rico, Inc.) Equitable Advisors, LLC (Equitable Financial Advisors in MI & TN) is an equal opportunity employer. M/F/D/V. GE-7814315.1(4/25)(Exp.4/29)

White Collar & Government Investigations Partner / Group - Portable Business Required SEC • DOJ • Regulatory Enforcement • Internal Investigations Fast-Growing AmLaw Firm | Nationwide Platform We are representing a fast-growing AmLaw firm actively building a national white-collar and investigations platform across criminal defense, regulatory enforcement, and internal investigations. The firm is investing heavily in lateral partners and groups who want stronger economics, institutional-grade clients, and a platform designed to scale high-stakes defense practices. This is an opportunity for white-collar rainmakers who want more than a siloed practice — it is built for partners who want cross-selling, serious trial support, and a firm that actively invests in their growth. The Platform The firm represents public companies, financial institutions, private equity sponsors, boards, and senior executives in high-exposure matters involving: • SEC, DOJ, and state attorney-general investigations, • Criminal and civil enforcement actions, • Internal and special-committee investigations, • Securities fraud, accounting, and disclosure matters, • Whistleblower, False Claims Act, and compliance issues, • Parallel criminal, civil, and regulatory proceedings Who They’re Looking For The firm is seeking partners — and partner groups — with: • A portable book of business, • Practices in white-collar defense, regulatory enforcement, or internal investigations, • Experience before SEC, DOJ, FINRA, CFTC, or similar agencies Why Partners Join This Platform This firm offers: • AmLaw-level sophistication with entrepreneurial economics, • National footprint with flexible office alignment, • Deep integration with corporate, securities, and compliance teams, • Elite trial lawyers, investigators, and e-discovery resources, • Real marketing and business-development infrastructure Explore Confidentially All inquiries are handled in strict confidence. If you are exploring a platform that offers stronger economics, institutional clients, and a serious commitment to white-collar defense, we welcome a discreet conversation.

Litigation Partner / Group Commercial • Securities • Class Actions • White Collar • Regulatory Fast-Growing AmLaw Firm | Nationwide Platform We are representing a fast-growing AmLaw firm actively building a national litigation platform across complex commercial disputes, securities litigation, class actions, government investigations, and trial work. The firm is making significant strategic investments in lateral partners and groups who want stronger economics, deeper institutional support, and a platform designed to scale high-stakes litigation practices. This is an opportunity for trial-tested rainmakers who want more than a department — it is built for partners who want cross-selling, premium clients, and a firm that actively invests in their success. The Platform The firm represents Fortune 500 companies, financial institutions, private equity sponsors, asset managers, technology companies, and regulated businesses in some of the most complex and high-exposure matters in the market. Litigation partners operate inside a fully integrated platform that includes corporate, securities, regulatory, IP, and employment, allowing clients to manage risk and disputes across their entire enterprise. The practice supports matters including: • Complex commercial and business litigation, • Securities litigation, shareholder derivative and fiduciary-duty actions, • Class actions and mass tort defense, • Antitrust and competition disputes, • White-collar criminal defense and government investigations, • Regulatory enforcement (SEC, DOJ, FINRA, CFTC, state AGs), • Internal investigations and compliance matters, • Trade secrets, unfair competition, and business torts The firm is seeking partners — and partner groups — with: • A portable book of business, • Practices in commercial litigation, securities, regulatory, white collar, or class action defense Why Partners Join This Platform This firm offers: • AmLaw-level sophistication with entrepreneurial economics, • National footprint with flexible office alignment, • Deep corporate, PE, and regulatory cross-selling, • Elite trial teams, e-discovery, and litigation support, • Real marketing and business-development infrastructure Explore Confidentially All inquiries are handled in strict confidence. If you are exploring a platform that offers stronger economics, premium disputes, and real growth support, we welcome a discreet conversation.

The Newark, NJ office of Lewis Brisbois, a full-service AmLaw 100 firm, is actively seeking an attorney to join its Professional Liability Practice. The ideal candidate will have strong research and writing skills and at least one (1) to seven (7) years of experience defending professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. Admission to the New Jersey Bar is required. Lewis Brisbois' Professional Liability Practice is comprised of attorneys located throughout all our offices nationwide. Either by way of direct engagement or retention through the professional's insurance carrier, we represent, among others accountants, architects & engineers, attorneys, bankers, computer and media professionals, (cyber law), financial planners, healthcare providers, insurance brokers and agents, school districts and municipalities, property appraisers and inspectors, real estate appraisers, brokers and agents, and securities brokers (FINRA). Although we would prefer that you have some experience in professional liability law, we are also interested in working with developing talented attorneys who come to us with excellent skills in any litigation arena. If you have substantive litigation experience, a demonstrated interest in professional liability law, and are looking for an opportunity in a growing, collaborative firm, we invite you to apply. We offer competitive compensation and in addition, Lewis Brisbois offers a range of benefits including medical, dental, vision, life insurance, and 401k with employer match.

Job Title: RFP Specialist Duration: 6 Months Location: New York, NY (Onsite - 200 West St, New York, NY 10282) Job Summary: The RFP Specialist plays a pivotal role within Client's Asset Management's Business, contributing significantly to the firm's efforts in client acquisition and retention. This individual is responsible for the end-to-end creation, editing, and customization of high-quality, persuasive responses to Requests for Proposals (RFPs), Requests for Information (RFIs), Due Diligence Questionnaires (DDQs), and consultant database updates. The role demands a deep understanding of Client's Asset Management's investment capabilities, strategies, and competitive advantages, and the ability to articulate these effectively to institutional clients, prospects, and consultants. The successful candidate will act as a central point of contact, collaborating extensively with various internal teams to ensure all client-facing materials are accurate, consistent, compliant, and tailored to meet specific client and consultant requirements. Key Responsibilities: Proposal Development & Customization: • Lead the drafting, editing, and customization of comprehensive and compelling RFPs, RFIs, and DDQs for institutional clients, prospects, and consultants across a diverse range of asset classes, including equities, fixed income, alternative investments (e.g., private equity, hedge funds, real estate), and multi-asset solutions., • Ensure all responses are strategically aligned with client needs, highlight GSAM's unique value proposition, and adhere to brand guidelines and messaging standards. Content Management & Maintenance:, • Manage and regularly update a centralized content library of standard responses, firm data, product-specific information, and investment narratives., • Ensure the accuracy, consistency, and compliance of all content with internal policies and external regulatory requirements., • Proactively identify gaps in content and work with subject matter experts to develop new materials. Cross-Functional Collaboration:, • Serve as a key liaison, working closely with Portfolio Managers, Product Strategists, Sales & Client Relationship Managers, Legal, Compliance, Operations, and Marketing teams to gather necessary information, validate data, and ensure alignment of messaging across all client communications., • Facilitate review processes with relevant stakeholders to obtain approvals and ensure accuracy. Project Management:, • Effectively manage multiple RFP projects concurrently, often under tight deadlines, from initial request receipt through final submission., • Develop and maintain project timelines, coordinate input from various internal stakeholders, and track progress to ensure timely and high-quality delivery. Strategic Communication & Messaging:, • Translate complex investment concepts, market insights, and quantitative data into clear, concise, and persuasive language that resonates with diverse institutional audiences., • Develop compelling narratives that differentiate GSAM's offerings in a competitive landscape. Quality Assurance & Compliance:, • Conduct rigorous reviews of all materials to ensure accuracy, grammatical correctness, stylistic consistency, adherence to brand guidelines, and full compliance with internal policies and relevant regulatory frameworks (e.g., SEC, FINRA).

Rapidly growing, prominently backed FinTech firm seeks Senior Graphic Designer to work in company that’s revolutionizing a massive industry. You will have the opportunity to have a significant impact on a company that offers creative freedom not often found in a already successful company. This is a rare opportunity to join a small, collaborative technology startup with exceptional growth potential and fantastic teammates who love working with each other, while benefiting from the support and stability of a Fortune 500 company. About You You are an expert visual storyteller, who understands that great design isn't just about making things look good or copying the latest trends—it’s about understanding your audience and business goals. It’s about turning those insights into clever concepts, and then bringing those concepts to life with great execution. You are comfortable with ambiguity and can take a vague idea and run with it. You have a "systems-thinking" mindset, meaning you don’t just design one piece in isolation; you envision how that piece fits into an ecosystem of collateral. You love collaboration, whether it’s with other designers, marketing, or executives. You don’t just take feedback—you translate it into better solutions and are able to articulate your design intent to drive consensus. You enjoy keeping up with the design industry and experimenting with new tools and techniques and are willing to learn or adapt new skills to get the job done. You never settle for "good enough." About the Role As our Senior Graphic Designer, you will help develop our visual identity as we continue to grow and build our presence. You’ll bridge the gap between our financial technology, advisors, and their clients, transforming abstract concepts into clever, thoughtful, visual solutions. Whether you’re spearheading a brand evolution, designing high-conversion assets for marketing, or helping refine our digital experience, your work will directly influence how financial advisors help their clients reach their financial goals. In this role, you will be the primary designer working on the company’s outbound marketing activities, while working with product to ensure our brand remains cohesive and world-class. Principal Responsibilities • Generate creative solutions and execute high-quality design work for brand identity, digital marketing, digital product, print collateral, presentations, video and motion graphics, and social media, • Be marketing's go-to resource for design, while also assisting product designers, and other stakeholders to conceptualize and execute creative ideas, • Manage multiple projects and timelines to deliver projects on time and to the highest quality, • Maintain and evolve brand guidelines to ensure a cohesive look and feel across all platforms, • Prepare production-ready files for both digital and print applications Minimum Qualifications • Bachelor’s degree or higher in Graphic Design or related field or equivalent experience, • 5+ years of experience, preferably within an agency or in-house creative department, • A portfolio that demonstrates high-level conceptualization, strategic thinking, and execution across a variety of mediums, • Expert level proficiency with Adobe Creative Suite, • Strong understanding of typography, color theory, and layout principles, • Ability to articulate design decisions to stakeholders and non-designers, • Comfortable in a fast-paced environment with shifting priorities, • A sharp eye for detail, • Organized and capable of managing brand assets, • Due to the nature of this position, as part of the background check process, candidates must be able to pass a fingerprint background check to qualify as a fingerprinted person under FINRA. For roles requiring registration, additional regulatory screenings may apply, including a review of Form U5 disclosures and other relevant licensing information. Preferred Qualifications • Experience with Figma or similar UI/UX tools, • Experience designing assets for marketing CRM platforms such as Hubspot, Marketo, Mailchimp, etc., • Experience with motion graphic and video tools, such as After Effects and Premier

⚡ Director AML Compliance 💼 Trading Platform 💲 $145,000 - $180,000 + 30% Bonus 🌎 New York / Jersey City A leading trading platform empowering retail investors with cutting-edge tools, committed to building a trusted, compliant, and accessible financial ecosystem for the retail users. Committed to building a trusted and compliant financial ecosystem, the firm is recognised for its customer-first approach and strong regulatory standards. About the Role The Director of AML Compliance will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. This individual will play a crucial role in ensuring compliance with regulatory requirements and safeguarding the integrity of the firm's financial services. The role is fully office-based in the New York metro area — remote work is not available for this position. The Perfect Candidate • Seasoned AML leader with experience in a regulated financial services environment, • Deep knowledge of BSA, FINRA, SEC, and state AML regulations, • Hands-on with AML systems and data, with a track record of building efficient, scalable programs, • Series 7, CAMS What You'll Do • Regulatory Oversight: Oversee the firm's AML compliance program in accordance with the BSA, USA PATRIOT Act, and applicable federal and state regulations. Prepare for and respond to regulatory exams, audits, and inquiries., • Program Leadership: Maintain and enhance AML WSPs, risk assessments, and internal controls. Monitor regulatory developments and ensure ongoing compliance across all applicable requirements., • AML Governance: Act as subject-matter expert on CDD, EDD, transaction monitoring, sanctions screening, and SARs. Manage alerts, investigations, and escalations, ensuring timely and accurate regulatory filings., • Technology & Data: Partner with Technology, Operations, and Data teams to implement and refine AML systems and controls. Design, enhance, and optimise AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review., • Training & Risk: Provide guidance and training to AML staff and stakeholders. Influence business decisions by providing clear, risk-based compliance guidance., • Strategic Partnering: Build and maintain strong internal and external relationships, working alongside leadership to enable business growth while maintaining regulatory integrity. What You Bring • Series 7 Required and open to obtaining Series 24, • Significant AML experience within a regulated broker-dealer or financial services environment., • Relevant FINRA licensing or willingness to obtain within a reasonable timeframe., • In-depth knowledge of current federal and state AML regulations and rules., • Strong background in AML data, systems, and reporting., • Familiarity with leading AML monitoring platforms preferred., • Excellent written and verbal communication skills with the ability to produce clear, concise reports., • Knowledge of futures and event contracts is a plus. What's On Offer • $145,000 - $180,000 + 30% Bonus, • Comprehensive medical coverage for employee and family, • 401(k) with employer contribution, • Generous PTO and paid holidays, • Performance-based bonuses, • Commuter benefits

Position Type: Regular Your opportunity At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location. Wealth and Advice Solutions is Schwab's comprehensive Wealth Management organization filled with talent that excels at personal relationships, specialized service and providing ongoing advice built on Schwab’s approach to investing. The Wealth Strategies Consulting Group addresses complex wealth management needs of clients through our Planning and Wealth Strategy teams. Additionally, they provide specialized products to meet income generation, risk mitigation, and liquidity needs. The Tax, Trust and Estate specialist role is a part of a specialized team that provides great value and benefits to Schwab clients. This offering provides depth and value to the clients of branch partners and Schwab Wealth Advisory Investment Advisors. The goal of the relationship is to work through client’s sophisticated needs in Tax, Trust, and Estates that among other things that could result in a large amount of savings to the end client. This position will require you to provide detailed, highly sophisticated advice to entrepreneurs and other high-net-worth individuals with sophisticated financial affairs, substantial business interests, large family estates and investment portfolios requiring careful attention. The Wealth Specialist will be the subject matter authority in all implications of a clients Tax, Trust and Estate needs. What you have As a High Net Worth Trust & Estate/Tax Specialist, you will: - Develop and handle strong relationships with Schwab Wealth Advisory team. - Function as an in-house subject matter authority on sophisticated trust, estate and income tax questions and issues. - Uncover unstated needs from the clients to offer additional Schwab services where relevant - Present to large and small groups to share your expertise and the offering to key partners - Educate internal partners on your skills and ability to support their clients to drive referrals - Apply your previous experiences in Tax, Trust and Estate to supply to a growing sector of Investment Advisor Services We believe that our values have helped us to build both a successful business model and an outstanding work environment. We value partnership, integrity, exceptional client service, open communication, and adaptability to change. - Bachelor's degree required - Previous experience as a Tax, Trust, and Estate attorney strongly preferred - At least one of the following is required; JD, LLM, CPA, CTFA, AEP - Active FINRA Series 65 license or equivalent required (may be obtained with a 120-day condition of employment) - Extensive experience advising high net worth clients - Ability to build strong internal relationships due to working closely with Wealth Advisor within Schwab Wealth Advisory - Shown experience in discovering unstated needs through diagnostic information gathering - Excellent presentation skills and demonstrated success in a collaborative environment - Strong verbal and written communication, listening, interpersonal, client service, networking and analytical skills - Ability to demonstrate exceptional interpersonal effectiveness when working with high-net-worth clients - Travel approximately 10% to 25% In addition to the salary range, this role is also eligible for bonus or incentive opportunities. What’s in it for you At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis. We offer a competitive benefits package that takes care of the whole you – both today and in the future: - 401(k) with company match and Employee stock purchase plan - Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions - Paid parental leave and family building benefits - Tuition reimbursement - Health, dental, and vision insurance

Position Type: Regular Your opportunity Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role. At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified locations. As a Sr. Manager, Wealth Advisor within Schwab Wealth Advisory (SWA), you are joining a premier, fee-based, and non-discretionary investment advisory solution, providing clients with a personal relationship, specialized service, and ongoing advice built on Schwab's approach to investing. You will have a direct impact on the lives of clients, working as a fiduciary within a dedicated Schwab Wealth Advisory team to deliver an exceptional client experience. SWA's advice philosophy will empower you to use a vast array of products (i.e. stocks, bonds, ETFs, mutual funds, separately managed accounts, option trading), setting you up for success to help clients manage their more complex portfolios and achieve their goals. You'll grow within an experienced, collaborative team, while deepening relationships with various partners, including industry leading advisors. You'll also have the opportunity to mentor junior SWA team members. If you are looking to develop with a firm that will challenge you to deepen your wealth management expertise, within a role that allows you to help clients while doing what you love, this may be the opportunity for you. What you have Required Qualifications: * CFP® designation or CFA® designation * Bachelor's degree * Active and valid FINRA Series 7 license * May be obtained with a 120-day condition of employment * Active and valid FINRA Series 66 license required * May be obtained with a 120-day condition of employment * Five or more years of advisory experience, including creating and customizing financial plans and portfolios for clients. Preferred Qualifications: * Five or more years working directly with clients in the financial services industry highly preferred In addition to the salary range, this role is also eligible for bonus or incentive opportunities. What's in it for you At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility (/hybrid-work) approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis. We offer a competitive benefits package (/summary-of-benefits) that takes care of the whole you - both today and in the future: * 401(k) with company match and Employee stock purchase plan * Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions * Paid parental leave and family building benefits * Tuition reimbursement * Health, dental, and vision insurance

CERTIFIED FINANCIAL PLANNER™ (CFP), Chartered Financial Consultant (ChFC) and Equitable Advisors' own Credentialed Holistic Financial Coach program. Equitable Advisors, LLC, member FINRA, SIPC, (Equitable Financial Advisors in MI and TN) and affiliate, Equitable Network, LLC, (Equitable Network In

The Administrative Assistant (AA) performs a wide range of standard administrative duties.The AA receives guidance, mentoring and training from senior colleagues and his/her manager.The AA is required to have experience in the use of Microsoft Office applications.Operational tasks include: preparing

Working knowledge of Reg T, Portfolio Margin, and FINRA Rule 4210 preferred JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clie

We are looking for a highly motivated and outgoing Financial Customer Experience Associate to support moomoo's in-person activations in our NYC Brand Store. Financial Customer Experience Associate. You will drive client acquisition, support store activations, and ensure compliance with FINRA and SEC

Position Type: Regular Your opportunity At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location. Wealth and Advice Solutions is Schwab's comprehensive Wealth Management organization filled with talent that excels at personal relationships, specialized service and providing ongoing advice built on Schwab's approach to investing. The Wealth Strategies Consulting Group addresses complex wealth management needs of clients through our Planning and Wealth Strategy teams. Additionally, they provide specialized products to meet income generation, risk mitigation, and liquidity needs. The Tax, Trust and Estate specialist role is a part of a specialized team that provides great value and benefits to Schwab clients. This offering provides depth and value to the clients of branch partners and Schwab Wealth Advisory Investment Advisors. The goal of the relationship is to work through client's sophisticated needs in Tax, Trust, and Estates that among other things that could result in a large amount of savings to the end client. This position will require you to provide detailed, highly sophisticated advice to entrepreneurs and other high-net-worth individuals with sophisticated financial affairs, substantial business interests, large family estates and investment portfolios requiring careful attention. The Wealth Specialist will be the subject matter authority in all implications of a clients Tax, Trust and Estate needs. What you have As a High Net Worth Trust & Estate/Tax Specialist, you will: * Develop and handle strong relationships with Schwab Wealth Advisory team. * Function as an in-house subject matter authority on sophisticated trust, estate and income tax questions and issues. * Uncover unstated needs from the clients to offer additional Schwab services where relevant * Present to large and small groups to share your expertise and the offering to key partners * Educate internal partners on your skills and ability to support their clients to drive referrals * Apply your previous experiences in Tax, Trust and Estate to supply to a growing sector of Investment Advisor Services We believe that our values have helped us to build both a successful business model and an outstanding work environment. We value partnership, integrity, exceptional client service, open communication, and adaptability to change. * Bachelor's degree required * Previous experience as a Tax, Trust, and Estate attorney strongly preferred * At least one of the following is required; JD, LLM, CPA, CTFA, AEP * Active FINRA Series 65 license or equivalent required (may be obtained with a 120-day condition of employment) * Extensive experience advising high net worth clients * Ability to build strong internal relationships due to working closely with Wealth Advisor within Schwab Wealth Advisory * Shown experience in discovering unstated needs through diagnostic information gathering * Excellent presentation skills and demonstrated success in a collaborative environment * Strong verbal and written communication, listening, interpersonal, client service, networking and analytical skills * Ability to demonstrate exceptional interpersonal effectiveness when working with high-net-worth clients * Travel approximately 10% to 25% In addition to the salary range, this role is also eligible for bonus or incentive opportunities. What's in it for you At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility (/hybrid-work) approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis. We offer a competitive benefits package (/summary-of-benefits) that takes care of the whole you - both today and in the future: * 401(k) with company match and Employee stock purchase plan * Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions * Paid parental leave and family building benefits * Tuition reimbursement * Health, dental, and vision insurance

Position Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company's success. As a Branch Banker within PNC's Metro Market and Commuter Region you will be based in New York, New York. PNC is an in-office company that fosters a collaborative and supportive culture where employees can thrive. We encourage candidates to connect with their recruiter and hiring manager to discuss workplace expectations and confirm branch hours and shift details for this location. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description * Acquires and deepens the branch customer base through a variety of proactive sales and service activities. Manages the customer experience by identifying opportunities to improve the customer's financial wellbeing. Collaborates with ecosystem partners to grow customer's share of wallet. Positions PNC solutions to drive new revenue and customer loyalty. * Drives proactive sales conversations through internal and outbound interactions with a defined sales process including outbound calling, service to sales, teller interactions, appointment setting and effective lobby engagement, ultimately elevating client loyalty. Delivers a full PNC conversation with every client interaction to identify appropriate PNC solutions. Leverages ecosystem partnerships as well as community Centers of Influence to acquire, expand and retain relationships. * Creates customer loyalty and grows customer share of wallet through a differentiated customer experience. Performs lobby engagement activities to connect with customers and position PNC products to meet their needs. Educates customers on options for managing financial transactions by leveraging technology, tools and resources. * Applies product and procedural knowledge to identify, mitigate and solve customer problems effectively to drive customer loyalty. * Manages risk through adherence to all policies and procedures, demonstrating sound judgment within established limits. Demonstrates a heightened scrutiny to identify and avoid loss. Participates in branch daily operations, ensuring they are completed in an efficient and accurate manner. PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be: * Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions. * Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework. To learn more about this opportunity, please watch this video () . Qualifications Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Preferred Skills Accountability, Banking, Client Loyalty, Customer Experience (CX), Customer Service, Identifying Opportunities, Leveraging Technology, Proactive Sales Competencies Banking Products, Digital Awareness, Effective Communications, Managing Multiple Priorities, Matrix Management, Problem Solving, Prospecting., Retail Lending, Selling., Understanding Customer Needs Work Experience Roles at this level typically require an Associates or equivalent degree as well as related experience or product knowledge to accomplish primary duties. Typically requires 3+ years experience. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered. Education No Degree Certifications No Required Certification(s) Licenses Candidates being considered for this position will be subject to additional background checks as required by Consumer Financial Protection Bureau regulations. Pay Transparency Base Salary: $46,800.00 - $74,750.00 Salaries may vary based on geographic location, market data and on individual skills, experience, and education. This role is incentive eligible with the payment based upon company, business and/or individual performance. Application Window Generally, this opening is expected to be posted for two business days from 12/01/2025, although it may be longer with business discretion. Benefits PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with PNC match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives. In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service. To learn more about these and other programs, including benefits for full time and part-time employees, visit pncthrive.com . Disability Accommodations Statement If an accommodation is required to participate in the application process, please contact us via email at . Please include "accommodation request" in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations. At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions. Equal Employment Opportunity (EEO) PNC provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law. This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the California Consumer Privacy Act Privacy Notice () to gain understanding of how PNC may use or disclose your personal information in our hiring practices.

Associate Director, Investment & Trading Compliance. Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, CFTC, NFA, FINRA and other regulatory requirements and/or experience with foreign regulations highly desirable. SVP, Head of

At Chase, we are passionate about creating memorable experiences for our clients and employees, making them feel welcomed, valued, and understood. We build lasting relationships by doing the right thing, exceeding expectations, and embracing diversity and inclusion. As a Relationship Banker in a Chase Branch, you will represent our brand and culture with the utmost hospitality, using the latest banking solutions and cutting-edge financial technology combined with friendly and attentive service. You will take a lead role in acquiring, managing, and retaining meaningful relationships with clients, using your financial knowledge to offer thoughtful solutions to help address their financial needs and make their lives easier, contributing to the success of the branch. Job responsibilities * Put clients first and exceed their expectations - deliver attentive and friendly service, creating a welcoming environment. * Manage assigned clients and proactively meet with them, both in person and over the phone, to build lasting relationships, understand financial needs, and tailor product and service recommendations. * Engage in clear, polite, consultative communication to understand and help clients, building trust - ask questions and listen to understand, anticipate their needs. * Educate and connect clients to technology solutions such as leveraging the Chase Mobile App, Chase.com, and ATMs to help them with their banking needs whenever, wherever, and however they want. * Learn products, services, and procedures quickly and accurately to effectively consult with clients about banking solutions, as well as collaborate with and connect them to our team of experts to help with specialized financial needs. * Adhere to policies, procedures, and regulatory banking requirements. Required qualifications, capabilities, and skills * 1+ year of sales experience in Retail Banking, Financial Services, or other related industries with proven success in establishing new clients, deepening relationships, and delivering results. * Ability to create memorable experiences for our clients - elevate the client experience. * Excellent communication skills, both in person and over the phone, with proven ability to tailor features and benefits of products and services to clients with differing needs. * Ability to quickly and effectively resolve client issues with attention to detail - providing consistent client experience. * Operate within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. * High school degree, GED, or foreign equivalent. * The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. * Ability to work branch hours including weekends and some evenings. Preferred qualifications, capabilities, and skills * College degree or military equivalent. * Experience adhering to banking policies, procedures, and regulatory requirements. Dodd Frank/Truth in Lending Act This position is subject to the Dodd Frank/Truth in Lending Act qualification requirements for Loan Originators. As such, an employment offer for this position is contingent on JPMC's review of your criminal conviction history, credit report, information available through NMLS, and any other information relevant to a determination by JPMC that you demonstrate financial responsibility, good character, and general fitness for the position. Note that any felony conviction within the last seven years will disqualify you from consideration for this position. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. In addition, this position requires National Mortgage Licensing System and Registry (NMLS) registration under the SAFE Act of 2008. As such, upon active employment with JPMorganChase, you will be required to either register on NMLS, or to update your existing registration as necessary to grant access to and reflect your employment with JPMorganChase. Your continued employment in this position with JPMorganChase is contingent upon compliance with the SAFE Act, including successful registration immediately after your start date, and timely completion of annual renewal and required updates thereafter. Any information obtained during the registration, update, and renewal processes or through NMLS notifications may impact your employment with the firm. Any of the completed information you provide during the Chase on-line application process may be transferred, on your behalf, to NMLS by JPMorganChase. Please carefully review the information you provide to Chase for accuracy and consistency and with any current NMLS record, if applicable, before submitting. Further information about NMLS and registration requirements of registration can be found at: Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs. We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process. We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation. Equal Opportunity Employer/Disability/Veterans Base Pay/Salary Brooklyn,NY $25.00 - $32.69 / hour

At Webull, our Compliance team serves as a strategic partner across the organization, safeguarding both our clients and the integrity of the firm. This role is designed for a highly experienced compliance professional with deep expertise in FINRA and SEC regulations, strong independent judgment, and

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details. Job Description 3+ years of transactional regulatory reporting experience. Proven track record in a reg ops role with a proactive mindset of spotting potential issues before they become problems. Comfortable working in a fast-paced environment, strong organizational skills with the ability to manage multiple priorities without losing accuracy and completeness within daily duties. Excellent written and verbal communication skills with the ability to collaborate with cross-functional teams across the broker dealer. Additional Job Description The individual will play a critical role within regulatory operations to support daily business activities. Primarily with exception management and correction report submissions to FINRA. The individual will be expected to monitor live reporting queues within the FINRA reporting facilities, research, and escalate exceptions to the front office and/or back office support functions. The individual will also support ongoing regulatory projects that have mandated compliance dates by FINRA. The individual will also play a role with certain supervisory functions that the team performs on a periodic basis. * Ideal candidate will demonstrate a strong understanding of equity and fixed income related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606, and TRACE. * The individual will assist with monitoring intraday TRACE exceptions of mismatches and rejects and remediate as necessary. * The individual will review CAT and CAIS reporting for any rejects, linkage, or inconsistency errors, and to investigate and remediate as necessary. * Perform daily reconciliations for TRACE, CAT, CAIS, and equity reporting (ORF/TRF) through the firm's exception management and monitoring software, nTier. * Candidate should possess strong analytical skills, ability to identify key issues impacting regulatory reporting and effectively communicate issues to the team and management ensuring regulatory obligations are met. * Execute appropriate governance and controls to mitigate regulatory and operational risks. * Ability to work independently as well as be team player supporting a positive and collaborative work environment. * Interface with the business, technology, and compliance on an ongoing basis for all equity product initiatives. Assessing and implementing reporting enhancements to support the businesses' growth. * Participate with the implementation of new transactional regulatory reporting requirements. Working closely with the project team to analyze requirements, create test scripts, and validate the results. * Assist Compliance with completing inquiries from Market Regulation Department of FINRA and SEC. * Provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests. * Versed in range of product offerings including common and preferred equities, listed and OTC options, and fixed income products. * Experience with Microsoft suite of products, Bloomberg, and Broadridge related systems (BPS, IMPACT, GLOSS). * Experience with nTier software is a plus. The typical base pay range for this role is between $90K - $137K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below. MUFG Benefits Summary () We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified. We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law. At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them! Our Culture Principles * Client Centric * People Focused * Listen Up. Speak Up. * Innovate & Simplify * Own & Execute

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

OTC Link ATS, OTC Link ECN, OTC Link NQB, and MOON ATS™ are each SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Our data-driven disclosure standards form the foundation of our public markets: OTCQX® Best Market, OTCQB® Venture Market, OTCID™

The Supervisory Analyst will be an independent contractor to BTIG LLC reporting to the Head of Equity Research and will review research reports for compliance with FINRA regulations and BTIG's internal research style guidelines. The successful candidate will also communicate and work closely with th

Senior Associate Director of Compliance. We are looking to bring on a Senior Associate Director of Compliance to our NY Wall Street Operations. Serve as a senior compliance subject matter expert on FINRA, SEC, and broker-dealer regulatory requirements.

Premier Client Service Specialist. Moomoo Financial seeks a polished Premier Client Service Specialist to deliver exceptional, dedicated support to our high-net-worth (HNW) and premier clients. An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.

Assist with preparation of FINRA FOCUS reports including the form X-17A-5 Part II, Supplemental Statement of Income (SSOI), Form Custody for Broker Dealers, Supplemental Liquidity Schedule (SLS), Off Balance Sheet Report (OBS) and SEC 17H reports. Assist with preparation of 15c3-1 Daily Net Capital

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA).

Branch Examiner / Compliance Officer. Location: Jersey City, NJ Duration: 11+ Weeks Daily Responsibilities: The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27,

FINRA Series 16 with at least 7-10 years of experience as a Supervisory Analyst, preferably in an equity research department. Supervisory Analyst / Registered Options Principal. As a Supervisory Analyst / Registered Options Principal, you will play a key role in ensuring the quality and compliance o

Possess a working knowledge of the US financial regulation framework including applicable FINRA rulesExcellent leadership, communication, and people management skills Ability to work independently and make sound, risk-based and suitability decisions based on firm policyAbility to collaborate across