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Refer advanced questions/issues to a more senior analyst or manager when appropriate and necessary. CA: Minimum Salary $91,500, Maximum Salary $170,900CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300IL*: Minimum Salary $87,500, Maximum Salary $156,600Jersey City, NJ/NY, NY: Minimum S...

The KPMG Advisory practice is currently our fastest growing practice. We are seeing tremendous client demand, and looking forward we don't anticipate that slowing down. In this ever-changing market environment, our professionals must be adaptable and thrive in a collaborative, team-driven culture...

Join our Compliance Consulting team (USCC) as a Vice President! At Kroll you will provide support and guidance to a wide variety of asset management firms in managing their SEC compliance programs. You will work alongside accomplished senior staff, enhancing your own regulatory expertise, while m...

Risk governance roleJoin growing team and firmAbout Our ClientBanking and Financial ServicesJob DescriptionMaintains the entity level Risk Governance under CFTC/NFA and FINRA Regulations.Maintain market risk governance framework across CUSO under FRB regulations.Monitor the firms compliance with ...

About Clear Street: Clear Street is building modern infrastructure for capital markets. Founded in 2018 by top Wall Street and Silicon Valley veterans, Clear Street is an independent, non-bank prime broker designed to solve the industry’s most neglected problem: legacy technology.We have built a ...

DescriptionVice President - Credit Policy, Governance and Regulatory Firm Risk ManagementFirm Risk Management (FRM) supports Morgan Stanley to achieve its business goals by partnering with business units across the Firm to realize efficient risk-adjusted returns, acting as a strategic advisor to ...

Work Location:United States of AmericaHours:40Line of Business:CompliancePay Detail:$115,000 - $185,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered ...

Legal & Compliance, AVP/VP/SVP (M&A Advisory Boutique). We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. Extensive experience with SEC/FINRA regulatory requirements, ideally within an M&A or advisory boutique environment. ...

Role: Senior Project Manager - FINRA. Senior Project Manager - FINRA 4210. Strong project and program management skills; ability to gain consensus among project team and stakeholders, and drive initiatives to completion effectively. The candidate must be an individual experienced in project manag...

Equitable Advisors, LLC, (NY, NY 212-314-4600) member FINRA, SIPC (Equitable Financial Advisors in MI & TN) // Equitable Network, LLC // Equitable Network Insurance Agency of California, LLC; Equitable Network Insurance Agency of Utah, LLC; Equitable Network of Puerto Rico, Inc. We have a passion...

Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and FINRA regulations. The focus of this role will include representing private funds (both hedge and private equity funds) on a wide spect...

As a senior developer for global regulatory technology, you'll be working on multiple regulatory projects (CFTC, NFA, FINRA, MiFID II, EMIR, Trade Surveillance), collaborating with the team, introducing / maintaining best industry practices, and delivering the projects on time, budget and quality...

Interact closely with all areas and personnel within the Legal and Compliance Department, including the global head of compliance, general counsel, head of money laundering prevention and senior management. Experience working at or leading an inspection by the SEC or FINRA, and responding to gene...

The Principal Data Analyst performs accurate data analysis in non-complex Enforcement matters in accordance with well-established methodology. The Principal Data Analyst is responsible for the strategic design and implementation of non-complex analytical and/or advanced data abstraction models fo...

Senior DeveloperMain purpose of the role:As a senior developer for global regulatory technology, you'll be working on multiple regulatory projects (CFTC, NFA, FINRA, MiFID II, EMIR, Trade Surveillance), collaborating with the team, introducing / maintaining best industry practices, and delivering...

All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Exec...

Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Social impact and community engagement prosper thru our programs such as "1,000 Hours of Giving Back" sponsored by our Women's Network and "Equitable Excellenc...

Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies and procedures relating to US Capital Markets Equities and Equity Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, and all other relevant SRO (e. Cboe) regulator...

We are currently seeking experienced attorneys with expertise in Dodd-Frank 1071 and/or FINRA 4210 margin requirements to assist multinational investment banking clients.Advise on ECOA (1071) rules and any changes to standard for institutional lending.Align internal policies and templates to 1071...

We invite you to Find Your Fidelity at fidelitycareers. Certifications:Series 07 - FINRA, Series 66 - FINRACompany OverviewFidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. Join UsAt Fidelity, you ll find endless opportunities t...

Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Social impact and community engagement prosper thru our programs such as "1,000 Hours of Giving Back" sponsored by our Women's Network and "Equitable Excellenc...

Senior Business Analyst, Capital Markets - Work From Home. Keywords:Jobs, Senior Business Analyst, Capital Markets, FINRA Oats, Equities Trading, Options Trading, e-Trading, US Equities Trading, Cash Equities, CAT, RegSHO, RegNMS, Rule5320, Remote, Work From Home, Recruiters, Information Technolo...

Senior Project Manager - FINRA 4210. Strong project and program management skills; ability to gain consensus among project team and stakeholders, and drive initiatives to completion effectively. The candidate must be an individual experienced in project management and with sufficient subject matt...

A top law firm is looking for an attorney with 2-5 years of experience in securities litigation and enforcement to join their New York or Washington, DC office. The firm offers flexible work arrangements. NY or DC bar required. Required Skills: Strong litigation skills Analytical skills Communica...