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JOB DESCRIPTION At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought...

JOB DESCRIPTION At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought...

JOB DESCRIPTION At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought...

JOB DESCRIPTION At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought...

JOB DESCRIPTION At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought...

JOB DESCRIPTION At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought...

This is a fastmoving validated raise ideal for a toptier fundraiser with strong HNW relationships and immediate availability. Synergy Management Group (SMG) is seeking an experienced SEC/FINRAlicensed investment banker to lead our $500K $1M angelstage capital raise. Lead investor outreach capital...

Additionally the Credit Regulation Data Specialist represents the department both within and outside of FINRA and will work across operational groups to provide analytical support. The Credit Regulation Data Specialist is responsible for supporting the department in the oversight and application ...

The Role This role in the Product Strategy team at Fidelity Digital Assets will be focused defining of business and product strategy as well as overseeing its execution through delivery of new, innovative products. Focus will be on advancing of our platform capabilities and designing new product...

Position Summary The Blue Sky Paralegal assists Blue Sky/FINRA Counsel, who leads the Firm’s blue sky and FINRA practice, with all aspects of Blue Sky and FINRA assignments across practice areas and offices and with day-to-day requests to improve utilization and ensure timely completion of tasks...

Compliance Officer New York, NY (In-Office 4 Days per Week) Pay: 225-300k all-in, dependent on experience Company Overview: Join a dynamic and growing global alternative investment firm with a strong presence in New York City. As they expand their compliance team, they seek a highly ski...

Investment Solutions Sales – Quantitative Investment Strategies (QIS) Sales – Executive Director Seeking a candidate to join Investment Solutions Sales team to focus on Quantitative Investment Strategies (QIS) and develop the business with institutional clients with a special focus on Insuran...

About Us At Longbridge, we are on a mission to redefine the retail investing experience through cutting-edge technology, smart design, and a deep understanding of market behavior. As a retail brokerage platform, we empower everyday investors with intuitive tools, real-time market insights, an...

Company Description Longbridge US is a new-generation socially-driven online brokerage firm that aims to provide every investor with better investment tools for U.S. and Hong Kong stocks. Outside of the US, the firm conducts businesses in Singapore, New Zealand, Hong Kong and China. Longbridge i...

Senior Compliance Analyst Hybrid - New York City Salary: $110-130k base + bonus (140-160k all in), depending on experience Overview: A leading asset manager is seeking a Senior Compliance Analyst to join its New York-based compliance team. This role provides significant exposure to seni...

Finance Operations Analyst – Recent Graduates Location: New York City, NY Compensation: $24 - $26/hour Industry: Financial Services Education: Bachelor’s degree in finance or a related field required About the Role: We are seeking a motivated and detail-oriented recent finance graduate ...

Equitable Advisors is a respected wealth management firm with a proven track record in the industry. We are driven by our mission to help our clients secure their financial well-being providing them confidence to pursue long and fulfilling lives. We have a passion to make a positive impact on the...

Seeking a Private Wealth/Private Banking Counsel for the legal and compliance department within a leading asset manager with headquarters in New York City. Preferred experience: 8+ years in the asset management group at a law firm with significant private wealth clients, or in-house at an asset ...

Job Title: Municipal Bond Senior Sales Specialist Location: New York, NY, Memphis, TN, In office Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. ...

Nearwater Capital is a rapidly growing and innovative specialty finance company headquartered in New York City with a global business and client base, with offices in New York, London and Dublin. Established in 2017, Nearwater has distinguished itself as a leader in delivering thoughtful, solutio...

Responsible for oversight for all margin-related processes, as well as all aspects of Regulation T and FINRA 4210 from an initial and ongoing cash and margin account basis. Lead a highly collaborative and cross functional team committed to improve the value of margin services. Oversight of margin...

Role: Senior Project Manager - FINRA Location: NYC, NY(Hybrid 2/3 days onsite) Duration: 12 Month Contract (Possible Extension or Hire) Senior Project Manager - FINRA 4210 The role will be part of a central FINRA 4210 Program Management Team, charged with ensuring the timely execution of ...

The position would pay $200/hr and the initial project would be 30-90 days with the potential for extension and/or a Chief Compliance Officer role within the organization. I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and...

Bank has been recognized as a World’s Most Ethical Company by the Ethisphere Institute and has been named the #1 Most Admired Superregional Bank by Fortune magazine. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, th...

Broker dealer services in connection with an investment are offered through Crowd Street Capital LLC (Crowd Street Capital), a broker dealer registered with FINRA and a member of SIPC. Associate General Counsel, Broker-Dealer & Securities. The Associate General Counsel role is instrumental in the...

This role will be responsible for the development and management of the overall compliance program for Strategas and serve as the firm's Chief Compliance Officer (CCO) for Strategas Securities, LLC (a broker-dealer and FINRA member firm and SEC-registered investment adviser). Manage compliance pr...

The Compliance Officer acts as a key resource/specialist owner or representative by providing technical subject matter expertise/analysis or operational process support on Compliance matters. Compliance Officer - FINRA Reporting. The Compliance Officer provides a range of operational process supp...

Blue Sky/FINRA Counsel, who leads the Firms blue sky and FINRA practice, with all aspects of Blue Sky and FINRA assignments across practice areas and offices and with day-to-day requests to improve utilization and ensure timely completion of tasks.Essential Duties and Responsibilities.Typical res...

Summary Siebert Williams Shank & Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a motivated compliance professional to assist the Compliance team led by the Chief Compliance Officer. The successful candidate will support compliance efforts includi...

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

Job Description Client Services Associate Job Description We are seeking a proven and seasoned Client Service Associate to provide support and assistance to financial advisors of Dominari Securities LLC, a dual-registered Broker-Dealer and Registered Investment Advisor. This role is a combina...

Job Description We're looking for experienced Interest Rates salespeople with existing client relationships to join our growing team. Responsibilities include but are not limited to: - Build relationships with institutional clients by sharing market insights and generating creative trading id...

Job Description Finance Operations Analyst – Recent Graduates Location: New York City, NY Compensation: $24 - $26/hour Industry: Financial Services Education: Bachelor’s degree in finance or a related field required About the Role: We are seeking a motivated and detail-oriented recent fin...

Job DescriptionWhat’s in it for you?! - Join a top-ranked global law firm with 2,850+ attorneys worldwide! - Work on high-impact cases across diverse industries and practices! - Collaborate with award-winning teams known for client service! - Grow fast in a dynamic, inclusive, and innovative ...

Job Description Job Overview: Seeking a highly skilled Staff Accountant to join a dynamic finance and accounting team. This role involves close collaboration with senior leadership, including the CFO and EVP of Finance & Operations, supporting global business operations with a particular focus o...

Job Description As an Equity Analyst – Emerging Market Special Situations, you will play a crucial role in identifying and analyzing investment opportunities across emerging markets. You will develop high-conviction trade ideas, conduct in-depth fundamental and event-driven research, and communic...

Job DescriptionCompany Description IQ-EQ is a preeminent service provider to the alternative asset industry. IQ-EQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulat...

Job Description Broker Dealer Compliance Officer Opportunity New York-based boutique broker-dealer and wealth management firm looking for a compliance professional to assist the Chief Compliance Officer with the day-to-day compliance duties of the firm. What we are looking for: - 2-5 year...

Job DescriptionWe’re looking for leadership-oriented individuals to join our Fast Track Management Program. In this program, you’ll have the opportunity to accelerate your path to management, and advance within 12 months. New York Life Insurance Company and its affiliates are dedicated to prudent...

Job Description iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clie...

Job Description iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clie...

Job Description Responsibilities - Reviewing and negotiating fund documentation, including limited partnership agreements, subscription agreements, and side letters. - Advising clients on a range of securities transactions, including public offerings, private placements, and Regulation D offer...

Job Description iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clie...

Job Description (Contract: Temporary | Monday – Friday | Remote: USA (New York) | Start Date: 2/10/25 | Pay Rate: $40 hourly) Lawyers on Demand (LOD) is seeking a Compliance Associate to support one of our global clients in delivering the highest level of service to internal and external clien...

Job DescriptionBenefits: - Defined Contribution Plan - 401(k) matching - Bonus based on performance - Company parties - Flexible schedule - Health insurance - Opportunity for advancement - Paid time off - Training & development - Competitive salary - Profit sharing Position Overview: ...

Job Description Our 90-year-old firm is rapidly expanding and is looking for a driven financial advisor to join our entry-level team. The ideal candidate will be eager to learn the fundamentals of wealth management and financial services to help clients reach their financial goals. Success in thi...

Job Description Broker Dealer Private Equity Sales and Investment Management Opportunity This is an opportunity to join a world-class private equity training program with seasoned mentors. New York-based boutique broker-dealer and wealth management firm looking for recent college graduate...

Job DescriptionBroker-Dealer Finance Associate or Staff Attorney Location: New York Direct Counsel is seeking a Broker-Dealer Finance Associate or Staff Attorney to join a prestigious Am Law 100 firm in New York. This position offers the opportunity to work with a leading Broker-Dealer Regulator...