Sec jobs in Bayonne, New Jersey - Page 3Create job alerts

Execute team's strategic plan, focused heavily on finance transformation. Responsible for driving automation and AI reporting solutions supporting the greater SEC perpetual finance transformation initiatives. BS (or above) in Accounting or Finance is required; CPA license is required.

Responsible for reviewing and approving US-facing marketing and advertising materials to ensure compliance with FINRA Rule 2210, applicable SEC requirements, and AllianzGI internal marketing compliance standards. Identify required revisions and clearly communicate compliance feedback to business par

Business Analyst / Project Manager With Ctfc & Sec & Cat Onsite Role In Nyc Ny.

Join our External Financial Reporting team as a Senior Analyst and play a key role in delivering accurate, high-quality SEC filings and financial disclosures for a global media leader. You'll work on complex reporting areas like cash flows, equity, and EPS, collaborate with auditors and cross-functi

Identify potential compliance risks or trends in marketing practices and escalate or recommend mitigation steps, as appropriate. Monitor and assess regulatory developments and guidance impacting marketing, advertising, and distribution activities. Investment Advisers Act of 1940, the SEC Marketing R

Meyer Jabara Hotels - 133-36 37th Avenue - Responsibilities: Assist guests with check-in and check-out processes; Courteously provide information for guest inquiries and coordinate guest requests; Answer hotel telephones courteously and efficiently; Follow Marriott policies for cash handling and sec

Project To Identify Inaccuracies In Key Regulatory Reporting Requirements.Errors & Omissions Project to identify inaccuracies in key regulatory reporting requirements and provide analysis and support with best industry practice to mitigate future instances.Dodd Frank Regulatory Reform CFTC/SEC - Fi

The team supports regulatory filings such as Form PF, Annex IV (AIFMD), OPERA, CPO-PQR, and 13F for submissions to key regulatory bodies including the SEC, FCA, ESMA, and CFTC. Our best-in-class offering includes accounting and investor services, portfolio analytics, middle-office functions, regulat

The Senior Regulatory Accountant is responsible for ensuring compliance with regulatory capital and customer protection rules related to the firm's broker-dealer and customer clearing business. Ensure compliance with regulatory requirements from SEC, Client, NFA, CFTC, and other exchanges. Regulator

The role involves advising issuers and underwriters on various transactions including IPOs and debt offerings. This position offers strong mentorship, significant client exposure, market compensation, and is part of a dynamic Capital Markets group. Membership in the New York Bar is required.

This role requires expertise in SEC regulations and the ability to ensure accuracy and compliance in financial reporting, supporting strategic objectives within a dynamic environment.

An insurance platform committed to delivering innovative risk solutions and financial security to its policyholders.With a strong balance sheet, disciplined underwriting, and a focus on operational excellence, the firm is entering a period of strategic growth and modernization.We are seeking a seaso

This role involves implementing cybersecurity strategies, engineering solutions to safeguard cloud resources, and automating security tasks. A leading staffing company is seeking a Director, Cloud Security Architecture in New York, NY. Qualified candidates will have over 7 years of experience in sec

This role will lead financial reporting activities, including US GAAP / SEC, Management (non-GAAP), US Statutory / NAIC and Bermuda Regulatory (SFS / EBS) accounting and financial reporting for all Fortitude related entities, including management of the underlying accounting and reporting teams. Tra

SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to e

Asia (Emerging Markets) Equity Sales North America Coverage. We are seeking an equity sales professional (56 years' experience) to grow and service North American institutional clients across Pan-Asia Emerging Markets equities. The role sits on the Asia Sales Desk and is responsible for driving sec

Responsibilities and Impact: Leads new business sales for the Financial Risk Analytics business. Collaboration with sales teams and other stakeholders across Financial Risk Analytics and across Market Intelligence to identify and drive synergy and cross sell opportunities. Invest in Your Future: Sec

Job DescriptionAbout SmartAsset: SmartAsset is an online destination for consumer-focused financial information and advice, whose mission is helping people make smart financial decisions, reaching over an estimated 59 million people each month (as of January 2025) through our educational content and personalized calculators and tools. To extend our mission, we also operate SmartAsset Advisor Marketing Platform (AMP), which helps connect consumers with fiduciary financial advisors. SmartAsset has earned recognition on the Inc. 5000 (#2574 in 2023) and Deloitte Technology Fast 500™ (#250 in 2022) lists. Currently, SmartAsset ranks on Y Combinator's list of Top 100 Companies. A successful $110 million Series D funding round in 2021 valued the company at over $1 billion. *Other than application and licensing fees, SmartAsset did not provide compensation for the aforementioned awards. About the team: The Sales Development team at SmartAsset plays a critical role in supporting our nationwide group of 50+ Account Executives and Sales Managers. As a Sales Development Representative at SmartAsset, you will serve as the "tip of the spear" for our sales organization. You will be responsible for identifying and creating new qualified sales opportunities for our Account Executives. This is not a "smile and dial" telemarketing role. We are looking for a strategic hunter who can understand complex financial advisory pain points and how our solution solves for those and supports growth. About the Job: Responsibilities: • Managing outbound prospecting efforts through outreach sequences, calls (150+ daily), and emails., • Qualifying a small portion of inbound leads generated by marketing campaigns and assessing fit., • Scheduling and transitioning pitch calls for Account Executives., • Maintaining accurate data in Salesforce to track prospect interactions, pipeline status, and activity metrics., • Staying informed on industry trends, competitors, and SmartAsset product updates to position our value proposition effectively., • Participating in weekly team meetings, sharing insights, providing feedback and continuously improving outreach strategies.Key Responsibilities1. Prospecting & Outreach, • Targeted Prospecting: Research and execute on lists of target leads of RIA's (Registered Independent Advisors) using tools like Salesforce, LinkedIn, Google & SEC registration sites., • Multi-Channel Outreach: Execute high-volume but personalized outreach campaigns via email, cold calling*, and social selling (LinkedIn). *95% of our appointments come from cold calling., • Value-Based Selling: Quickly identify the prospect's business growth challenges and clearly communicate the value proposition of our platform to generate interest. 2. Lead Qualification • Inbound Response: Rapidly follow up with inbound leads driven by our marketing team (demo requests, whitepaper downloads) to qualify their interest and fit., • Discovery: Conduct high-level discovery calls to assess budget, authority, need, and timeline before handing off to an Account Executive., • Objection Handling: Professionally navigate objections related to budget, timing, and perceived value. 3. Pipeline Management • CRM Hygiene: Maintain rigorous records of all interactions, notes, and lead statuses in our Salesforce CRM, • Meeting Coordination: Schedule seamless pitch appointments for the Account Executive team., • Experience: 6-12+ months of experience in sales, business development, role (SaaS experience preferred)., • Communication: Exceptional written and verbal communication skills. You must feel comfortable speaking with high-level financial executives., • Resilience: A "hunter" mentality with the ability to handle rejection and maintain high activity levels., • Tech-Savvy: Ability to learn complex software and sales tech quickly, • Financial Literacy: A degree in Finance/Economics, previous experience working in Fintech and understanding financial advisory terminology is a massive plus. Typical Tech Stack, • CRM: Salesforce, • Engagement: We use RingDNA, but experience with Outreach, Salesloft, or Apollo are helpful, • Data/Intel: LinkedIn, Fintrix, Google, • Calling: RingDNA, but other dialer tool experience is helpful Key Performance Indicators (KPIs), • Activity: 150+ dials a day, or 200+ Activity points per day (inclusive of talk time), • Results: 22+ "Sales Qualified Leads" (SQLs) or meetings booked per month., • Prolonged periods of sitting at a desk and working on a computer, • Must be able to communicate via phone calls and/or video conferences (mainly for concierge and sales roles) Available Benefits and Perks:, • Fully Remote Work: All roles are fully remote within the contiguous U.S., giving you flexibility to do your best work from where you thrive., • Comprehensive Health Coverage: Multiple Medical, Dental, and Vision plan options through trusted national carriers—so you can choose what fits your needs., • Life & Disability Protection: Company-paid Life/AD&D coverage, with options to add supplemental life and disability plans for extra peace of mind., • Financial Wellness: 401(k) with employer match, pre-tax savings through FSA and HSA options, and equity packages offered for every role., • Time Off That Works: Generous vacation, sick, and parental leave policies—because balance matters. California, Colorado, Connecticut, Maryland, Nevada, Rhode Island, Washington, and New York City residents* $60,000 base and up to $80,000 OTE + RSUs + benefits. Salary at SmartAsset is determined based on permissible, non-discriminatory factors such as skills, experience, and geographic location within the contiguous United States.

Securities And Derivatives Senior Analyst Assistant Vice President Hybrid. The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Service

We are looking for a Client Onboarding Associate to join the Onboarding Team at Clear Street. You have a basic understanding of FINRA and SEC regulatory requirements related to customer onboarding in Prime Brokerage and Security-Based Swap Dealer environments. You are motivated by the opportunity to

Managing the regulatory calendar and tracking obligations to ensure compliance with DEA, Client, and SEC requirements. Overseeing the documentation lifecycle for membership applications and ensuring compliance with regulatory changes. Supporting the books-and-records framework by organizing document

Starbucks - 1328 York Avenue - Responsibilities: Direct the work of others; Provide quality beverages and food products to standard recipes; Delegate tasks to other employees; Coordinate tasks of two or more employees; Ensure store safety and security.

AccountingAdvisory #TechnicalAccounting #CPAJobs #PublicAccountingCareers #AccountingConsulting #FinancialReporting #SOXCompliance #AdvisoryCareers #HiringNow #ConsultingJobs. Researching and advising on technical accounting topics (GAAP, financial reporting, SEC matters). Strong knowledge of GAAP,

SEC registered broker-dealers alongside a cryptocurrency brokerage all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elev

You will also have an opportunity to support the SEC reporting and earnings release process, including overseeing aspects of financial statement disclosures and involvement with reporting non-GAAP financial measures. We are looking for a forward thinking and highly motivated team player to join our

Securities and Exchange Commission (SEC) Marketing Rule, Financial Industry Regulatory Authority (FINRA) Rule 2210, and other relevant regulations in the review process. Assist in the development, enhancement, and documentation of marketing-related compliance policies and procedures. Monitor and ass

Job DescriptionCompany Description We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms. Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. We’re driven by our Group purpose, to power people and possibilities. Job Description This position demands a high level of accuracy, critical thinking, and independent problem-solving, and a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions. What you’ll do • You'll help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership, • You’re responsible for ensuring timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures, • You will lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations, • You’ll stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues, • IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance., • Employees receive generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays, and financial wellness is supported through a 401(k) plan with a company match (subject to eligibility)., • Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans., • Additional benefits include paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment., • The salary for this position will be dependent on experience and location ($ 72,000-$110,000). Qualifications, • You bring 4 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies, • You have a strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940., • You’re familiar with SEC examination practices and preferably have hands-on experience with both actual and mock exams., • You understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements., • You’re expected to apply your regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date. Additional Information Our commitment to you and the environment Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment. There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee. Our learning and development programs and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced. We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning. #LI-HYBRID

Job Description Associate – Commodities & Derivatives Regulation and Enforcement Location: New York, NY Experience Level: 5 years minimu, Practice Area: Corporate – Commodities and Derivatives Direct Counsel is representing an Am Law 100 firm seeking a mid-level associate to join its Commodities and Derivatives Regulation and Enforcement Practice in the firm’s New York office. About the Role: This is an exciting opportunity to work with a leading financial regulatory and derivatives group advising top-tier investment managers, financial institutions, and FinTech/crypto innovators. The role covers both regulatory and transactional matters, including: * Compliance with Dodd-Frank, CFTC, and SEC regulations * Structuring and negotiating derivatives transactions involving commodities, interest rate swaps, FX, and credit derivatives * Advising on futures and emerging areas such as crypto trading platforms and digital asset compliance What We're Looking For: * 3+ years of experience with commodities, futures, or derivatives transactions * Strong transactional background; regulatory experience a plus * Admission to the New York Bar or eligibility to waive in * A desire to work in a collaborative, fast-paced practice focused on cutting-edge financial products Attorneys with a solid transactional foundation who are looking to expand into complex regulatory matters are highly encouraged to apply.

Job DescriptionCapital Markets Associate Attorney – New York or Short Hills Direct Counsel is seeking a Capital Markets Associate Attorney to join a leading global law firm with a strong focus on life sciences, technology, and digital asset clients. This is an excellent opportunity for a mid-level to senior corporate associate to step into a sophisticated capital markets and public company advisory practice working with innovative issuer and underwriter clients. About the Role The associate will work closely with public companies and handle matters involving: * Public company reporting and compliance * Corporate governance * Capital markets transactions * Day-to-day counseling of public companies You will support a national practice and gain exposure to complex securities matters across major industry verticals. Responsibilities * Conduct legal research and analysis related to securities laws and corporate matters * Draft and review SEC filings, proxy statements, Section 13/16 filings, and other disclosure documents * Assist with or manage capital markets transactions, including offerings, closings, and strategic corporate activities * Provide guidance on Securities Act and Exchange Act compliance * Collaborate with partners and cross-functional teams to support sophisticated issuer and underwriter clients * Maintain strong client communication and contribute to firm initiatives, training, and professional development Qualifications * J.D. from an accredited law school * Admitted to practice in New York * Minimum of 5 years of capital markets experience * Experience working with large-cap and mid-cap public companies on periodic reporting and governance matters * Strong understanding of the Securities Act of 1933, Securities Exchange Act of 1934, and NYSE/Nasdaq listing requirements * Prior Am Law 100 experience preferred Work Environment * Hybrid schedule with regular in-office presence * Fast-paced environment requiring strong judgment, organization, and communication skills Compensation The expected salary range for this position is $365,000 – $435,000, depending on experience and location. A comprehensive benefits package is also offered, including medical, dental, vision, and 401(k).

Job DescriptionSecurities & Capital Markets Associate Attorney (4–6 Years) Chicago, New York, Miami or Washington, DC (Hybrid) Direct Counsel is seeking a Securities & Capital Markets Associate Attorney to join a top-tier, nationally recognized law firm with a strong and collaborative corporate practice. This opportunity is ideal for an experienced associate looking to work on sophisticated transactional matters while receiving meaningful client exposure, professional development, and a sustainable work environment. The Opportunity The associate will join a cohesive Securities & Capital Markets group with a multidisciplinary practice that regularly advises public and private companies, issuers, underwriters, and investors. The team works closely with shareholders and clients and encourages active participation in business development and client-facing initiatives. The firm is known for its collegial culture, high-quality work, and long-term investment in its attorneys. Qualifications * 4–6 years of experience at an Am Law 100 law firm * Strong background in corporate, securities, capital markets, and M&A transactions * Significant experience with debt and equity offerings, M&A transactions, and SEC compliance and reporting * Prior experience with securitizations and/or aviation clients is a plus * Excellent oral and written communication skills * Ability to work effectively both independently and as part of a team * J.D. from an accredited law school with strong academic credentials * Admission to the Illinois or Washington, DC bar (active and in good standing) Why This Role * High-level, interesting work in a more personalized and collaborative environment * Early and meaningful responsibility with direct client contact * Strong commitment to attorney development through training, mentoring, and feedback * Hybrid work schedule: three days in office, two days remote * Competitive compensation and comprehensive benefits Compensation * Base salary range: $265,000 – $320,000 (commensurate with experience and class year) * Discretionary annual bonus Benefits Highlights * Competitive medical, dental, and vision coverage * 401(k) with pre-tax and Roth options * Firm-paid life and disability insurance * Generous PTO, paid holidays, sick and personal time * Professional development and training programs * Family-friendly benefits including backup child and elder care * Wellness programs and additional employee perks Equal Employment Opportunity The firm is an equal opportunity employer and values diversity in the workplace. Qualified applicants will be considered without regard to any protected characteristic under applicable law.

Job DescriptionWho we are The real world is the next frontier, and at Metropolis, we are creating the artificial intelligence to make it responsive. We are pioneering the Recognition Economy — a future where mundane repetition disappears and being known unlocks access, comfort and belonging everywhere you go. From transforming parking into a seamless drive-in, drive-out experience for millions of Members to expanding our intelligence layer across retail and hospitality, we are building a world that feels instinctive and magical. The future isn't coming; it's here, and we need builders, innovators and problem solvers to help us create it. Who you are Metropolis is seeking a Director of Financial Reporting & International Accounting to lead global consolidation, external reporting, and foreign subsidiary oversight during a period of significant global expansion. You will architect our future readiness for capital markets by owning global accounting operations and technical accounting assessments across our international entities. Partnering closely with FP&A, Treasury, and Tax, you will ensure the accuracy of global financial results while mentoring a geographically distributed team to build a world-class reporting function. What you'll do • Own all aspects of financial reporting, including monthly/quarterly close, consolidation, and reporting packages, • Lead preparation of GAAP-compliant financial statements and disclosures; support future SEC-readiness activities, • Oversee accounting operations of foreign subsidiaries, including statutory reporting, intercompany processes, and local audits, • Drive technical accounting assessments related to international entities, currency impacts, revenue recognition, equity, leases, and acquisitions, • Strengthen global accounting policies, procedures, internal controls, and governance structures, • Partner with FP&A, Treasury, Tax, and local business leaders to ensure complete and accurate global financial results, • Mentor and develop a growing, geographically distributed accounting teamWhat we're looking for, • 10+ years of progressive accounting experience, • Deep knowledge of U.S. GAAP and global reporting standards, • Experience with global consolidations, foreign currency, and multi-entity operations, • Proven ability to design scalable reporting processes in a high-growth environment, • Strong leadership, project management, and communication skillsWhile not required, these are a plus: Metropolis may utilize an automated employment decision tool (AEDT) to assess or evaluate your candidacy for employment or promotion. AEDTs are used to assist in assessing a candidate's application relative to the required job qualifications and responsibilities listed in the job posting. As part of this process, Metropolis retains data relevant to your candidacy, including personal information, for a period that is reasonably necessary for the use of the tool. If you are hired for the position, your data may become part of your employee records. Metropolis Technologies is an equal opportunity employer. We make all hiring decisions based on merit, qualifications, and business needs, without regard to race, color, religion, sex (including gender identity, sexual orientation, or pregnancy), national origin, disability, veteran status, or any other protected characteristic under federal, state, or local law.

Job Description Centri Business Consulting provides the highest quality advisory consulting services to its clients by being reliable and responsive to their needs. Centri provides companies with the expertise they need to meet their reporting demands. Centri specializes in financial reporting, internal controls, technical accounting research, valuation, mergers & acquisitions, and tax, CFO and HR advisory services for companies of various sizes and industries. From complex technical accounting transactions to monthly financial reporting, our professionals can offer any organization the specialized expertise and multilayered skillsets to ensure the project is completed timely and accurately. We are One Firm, One Team, and One Culture. It's how we do things at Centri. And a large part of our focus is on becoming the best, most wholesome professional you can be. You're not just a number. You're part of the Centri Family. Career Advancement: Core Responsibilities: • In depth understanding of big picture complex Accounting Advisory topics and how they relate to each other. Ability to oversee progress of entire engagement in the preparation of financial statements and consolidation of trial balances., • Perform detailed review of work product completed, ensure all complex technical items have been identified and addressed, assess the accuracy of more complex financial statement areas such as SOCF, Equity, and EPS and identify disclosures which are inaccurate/incomplete., • Prepare and review complex technical accounting memos and identify if the appropriate guidance has been used., • Oversee and coach Managers to ensure knowledge sharing with the staff and seniors to develop more in-depth knowledge of preparation and review of financial statements and consolidation of trial balances., • In depth understanding of complex Accounting Advisory topic and developing subject matter expertise to allow for coaching of Managers., • Identify more complex scope problems that may arise within the engagement, as well as opportunities for ancillary service offerings. Bring them to the attention of the engagement director., • Lead complex update client meetings and/or calls independently in accordance with the project plan. With the assistance of the Engagement Managing Director and/or Partner, facilitate calls with the SEC, client auditors, client legal counsel, etc. as deemed necessary to accomplish project goals., • Responsible for understanding engagement economics, leveraging the team appropriately, monitoring margin, scheduling, invoicing, etc., • Leadership responsibilities include building in person connections with the team, peers and senior leaders in the Firm., • Participate in the performance process to provide feedback for team members. Identifying additional training or parts of engagements that are beneficial for team members education. Reaching out to Human Resources when potential issues arise., • Continue coaching the team to share knowledge in connection with the CPE committee to develop team members for the next level., • Support Firm initiatives and development opportunities., • Work to build relationships and promote collaboration in a hybrid environment. Required Skills/Abilities: • Strong working knowledge of the Generally Accepted Accounting Principles., • Being a strong champion for and thrives in an environment of changing priorities., • Interpersonal skills to interact in a team environment and foster client relationships., • Understand the services offered by the Firm, look for opportunities to represent the Firm, grow the client base, and increase brand recognition., • Recognizes opportunities for learning by pursuing challenging assignments and a hunger to become an expert., • Proficient in Microsoft Office Suite with an emphasis on Excel skills. Education and Experience: • Bachelor's degree in Accounting or equivalent required., • Must have an active CPA, • 10+ years of relative accounting experience; at least 1 in public accounting or professional services highly preferred. This position is an exempt position as it relates to the fair labor standards Act. Centri provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. #LI-Hybrid

Job DescriptionJob Title: Litigation Associate – White Collar Defense Location: New York Practice Area: White Collar / Government Investigations Experience Level: Minimum 2 YearsPosition Summary Direct Counsel is representing an AmLaw 100 law firm seeking a Litigation Associate to join its White-Collar Defense & Investigations Practice in Century City. This practice group represents leading corporations, financial institutions, and executives in high-stakes government investigations, regulatory enforcement actions, and white-collar criminal defense matters. Key Responsibilities * Represent clients in complex white collar criminal litigation, regulatory enforcement actions, and internal corporate investigations. * Advise clients on compliance with federal and state regulations, including securities laws, anti-corruption laws, FCPA, and anti-money laundering statutes. * Work directly with government agencies including the DOJ, SEC, and other regulatory bodies. * Conduct legal research, draft legal memoranda, motions, and responses to subpoenas and investigatory requests. * Assist in trial preparation, interviews, and strategy development for defense matters. Qualifications * Juris Doctor (JD) from an accredited law school. * Admission to the New York Bar or eligibility to become a member. * Minimum of 2 years of experience in white collar litigation or government enforcement work. * Demonstrated experience in government investigations, internal investigations, and enforcement defense, particularly in matters involving securities fraud, anti-corruption, or regulatory compliance. * Exceptional legal research, writing, and oral advocacy skills. * Strong interpersonal skills, attention to detail, and ability to manage multiple high-stakes matters simultaneously. Compensation: $235,000 - $435,000 depending on experience and class yearComprehensive Benefits are available

The Mortgage Loan Officer takes residential mortgage loan applications and offers or negotiates terms of residential mortgage loans. Must be eligible for registration as a registered mortgage loan originator with the NMLS (Nationwide Mortgage Licensing System and Registry) in accordance with the Sec

Job DescriptionRedefine the future of live entertainment tech Welcome to vivenu, the global leader in event ticketing tech and one of the world’s fastest-growing live entertainment tech firms. We are transforming event ticketing for global leaders like the Grammys, the Golden Globes, Stanford University and the Hockenheimring turning what was once a simple transaction into a strategic business advantage. Backed by over $65 million in funding, our platform empowers event organizers to own their brand experience, unlock deep data insights, and seamlessly integrate ticketing into their digital infrastructure. With six offices worldwide and growing, we deliver a customizable, intuitive solution and industry-leading support that simplify even the most complex ticketing challenges – helping organizers deliver exceptional experiences and drive real growth. Join us and build the future of live entertainment.In this role, your responsibilities will include: • Owning the end-to-end strategy for securing and scaling partnerships within the Power 4 (SEC, Big Ten, ACC, Big 12) , serving as the primary strategic lead for these premier accounts., • Acting as a trusted advisor to Athletic Directors, CFOs, and University leadership, you will navigate these institutions with the same executive presence and political acumen required for a Fortune 500 C-suite., • Leading high-stakes negotiations and complex sales cycles across multi-stakeholder environments, effectively bridging the gap between central administration, IT, and athletic departments to align operational, technical, and economic buyers., • Defining and executing the sales strategy for the Power 4 and Ivy League in collaboration with GTM and executive leadership, helping shape the product roadmap to ensure vivenu remains the dominant force in the elite sports ecosystem., • Orchestrating sophisticated, long-term deals that require strategic patience, persistence, and high-touch relationship management., • Maintaining deep knowledge of the sports and collegiate ecosystem, traveling as needed to support customers and engage with the industry.What you will need to succeed in this role:, • A Master’s Degree or a Bachelor’s Degree from a top-tier institution, ideally in Business Administration, Sports Management, or a related field., • 7+ years of professional experience in Strategic Sales or Consulting (e.g., McKinsey, BCG, Big 4), ideally with a focus on high-growth environments or enterprise-level partnerships., • A deep-seated desire to transform the ticketing landscape within the Power 4 and collegiate ecosystem; while you don’t need to be a ticketing veteran, you are driven by the challenge of replacing legacy systems with modern technology to solve the unique operational hurdles of world-class universities., • A reputation as a "quick study" who can rapidly master the nuances of a new industry and translate that knowledge into immediate credibility with senior leaders., • Executive presence and the ability to communicate with clarity and authority, whether you are in a boardroom or leading a large-scale presentation., • A "founder" mentality where you thrive in ambiguity and enjoy building a playbook from the ground up as much as you enjoy executing it.

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 brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description Oppenheimer & Co. Inc. is seeking a Branch Examiner to join our Compliance team who will report to the Branch Examiner Manager. The Branch Examiner is responsible for conducting onsite branch examinations of Private Client Group branch offices throughout the U.S. The ideal candidates must be within commuting distance to any of the following branch offices: Boston, MA, Fort Lauderdale or Tampa, FL, Dallas, TX, Los Angeles or San Francisco, CA, Kansas City, MO, Chicago, IL, or New York City, NY. Responsibilities: • Execute Branch Examination Program to Private Client Group branch offices across the U.S, • Travel to branch offices to review office records, completed questionnaires, and branch operating procedures to ascertain compliance with Firm's policies and procedures, SRO Rules, and regulations, • Conduct one-on-one meetings and interviews with branch management and personnel, • Must follow a set of modules from the Branch Examination Program, • Communicate exam findings to Branch management, exam managers and compliance leadership, • Two to three years of experience in Branch Examination, Compliance or Financial Services, • Knowledge of rules and regulations of SEC, FINRA and state securities regulatory agencies, • FINRA Series 7, preferred, • Effective communication skills and attention to detail, • Ability to follow directions and procedures accurately and thoroughly, • Possess a high degree of proficiency with technology including MS Office products (Word, Excel, PowerPoint and Outlook), • Demonstrate strong accuracy and thoroughness in all facets of daily work and possess superb organizational skills For job postings in the states of California and New York, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to California and New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $65,000.00 - $83,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job Description About Futu US Inc.: Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience. Here's a closer look at our key entities: • Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally., • Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise., • Moomoo Technology Inc.: Offering a data-rich trading platform, we provide unparalleled insights and tools to enhance your trading strategies. Note that this entity is not a licensed broker-dealer. For deeper insights into our entities and affiliates, explore futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation. About the Team & Role: The General Compliance Manager will support our Market Surveillance and Compliance function. This role is responsible for reviewing and escalating potentially manipulative or violative trading activity across multiple asset classes. The ideal candidate will have hands-on experience using Nasdaq SMARTS and a solid understanding of U.S. securities market structure. Office Location: Jersey City, NJ This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter. Requirements What you do • Conduct investigations into new accounts and trading as per MFI’s procedures, • Assist in implementing AML/KYC risk assessments and review processes for high-risk clients, • Participate in all regulatory and compliance related projects, • Lead team in trade surveillance of all trading and products, • Utilize provided tools on a daily basis to ensure no “bad actors” are trading in MCI systems/accounts, • Report and/or act on any deviation in trading that might be or is a regulatory concern, • Assist in registration and management of FINRA Gateway, • Perform reviews of email and other electronic communications, • Perform reviews of outside business activities, • Perform reviews of outside trading accounts, • Assist in the review process of marketing materials, • Review PerformLine data and issues and resolve, • Review Red Oak requirements for the Business Development team. Ensure they are completed., • Perform reviews of marketing team submitted materials, • Review Social Media Posts in Smarsh What you offer • Bachelor’s degree preferred, or equivalent combination of education, training, and experience, • FINRA Series 7 & 24 required (Series 4 preferred; will be required within 90 days of starting position), • 3-5 years of industry experience, • Must be fluent in English, • Strong interpersonal and written communication skills, • Highly motivated with capability to work with minimum supervision, • Must be a team player, willing to collaborate, • Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents, • 401k Employer Contribution: We match your contributions to help you grow your retirement savings, • Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy, • Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work, • Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $105,000 - $140,000. This role is also eligible to participate in our discretionary bonus plan. Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. Warning about fake job posts: Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.

Job Description Centri Business Consulting provides the highest quality advisory consulting services to its clients by being reliable and responsive to their needs. Centri provides companies with the expertise they need to meet their reporting demands. Centri specializes in financial reporting, internal controls, technical accounting research, valuation, mergers & acquisitions, and tax, CFO and HR advisory services for companies of various sizes and industries. From complex technical accounting transactions to monthly financial reporting, our professionals can offer any organization the specialized expertise and multilayered skillsets to ensure the project is completed timely and accurately. We are One Firm, One Team, and One Culture. It's how we do things at Centri. And a large part of our focus is on becoming the best, most wholesome professional you can be. You're not just a number. You're part of the Centri Family. Career Advancement: Core Responsibilities: • Oversee progress of entire engagement in the preparation of financial statements and consolidation of trial balances., • Research complex technical accounting topics, identify relevant guidance, and corresponding SEC rules and regulations., • Begin to write basic technical accounting memos., • Knowledge sharing with the staff and seniors to develop more in-depth knowledge of preparation and review of financial statements and consolidation of trial balances., • Establish an in-depth understanding of how to assess the accuracy of complex financial statement areas such as SOCF, Equity, and EPS and identity disclosures which are inaccurate/incomplete, • Identify more complex scope problems that may arise within the engagement, as well as opportunities for ancillary service offerings. Bring them to the attention of the engagement director., • Lead all client calls, manage project status with managers and staff. Develop project plans and accurate completion of project plans at the deliverable level., • Responsible for understanding engagement economics, leveraging the team appropriately, monitoring margin, scheduling, invoicing, etc., • Leadership responsibilities include building in person connections with the team, peers and senior leaders in the Firm., • Participate in the performance process to provide feedback for team members. Identifying additional training or parts of engagements that are beneficial for team members education. Reaching out to Human Resources when potential issues arise., • Continue coaching the team to share knowledge in connection with the CPE committee to develop team members for the next level., • Support Firm initiatives and development opportunities., • Strong working knowledge of the Generally Accepted Accounting Principles., • Being a strong champion for and thrives in an environment of changing priorities., • Interpersonal skills to interact in a team environment and foster client relationships., • Above average written and verbal communication skills., • Understand the services offered by the Firm, look for opportunities to represent the Firm, grow the client base, and increase brand recognition., • Recognizes opportunities for learning by pursuing challenging assignments and a hunger to become an expert., • Proficient in Microsoft Office Suite with an emphasis on Excel skills. Education and Experience: • Bachelor's degree in Accounting or equivalent required., • Close to obtaining CPA Certification. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. #LI-Hybrid

Job Description Role Summary Reporting to Lexeo’s Vice President and Corporate Controller, the Director, Accounting, will be responsible for the overall accounting and SEC reporting activities of the Company in addition to driving process improvements and support of accounting policies, procedures and internal controls. This hands-on role will oversee a team of two, execute day-to-day accounting functions, and produce high-quality SEC reporting while ensuring the application of best practices and compliance with all policies and internal controls. Primary Responsibilities * Execute and oversee the SEC reporting and accounting close processes (monthly/quarterly/annual), including preparing and reviewing journal entries and balance sheet reconciliations, as well as preparing full quarterly (Form 10-Q) and annual (Form 10-K) financial statements and notes to be filed with the SEC in an accurate and timely manner in accordance with US GAAP * Ensure the consistent application, testing and documentation of internal controls in accordance with Sarbanes-Oxley requirement and in compliance with established policies and procedures * Lead and mentor two direct reports including the Accounts Payable Manager and the Senior Accountant * Ensure accurate expense recognition for accounting close, including R&D and clinical trial accruals, as well as stock-based compensation * Review purchase orders and invoices in the intake-to-pay system in close coordination with the Procurement and Accounts Payable functions and T&E reports in the expense reporting system for accuracy, validity and compliance with established policies and procedures * Manage accounts payable operations and activities, as well as the cash management and treasury functions including accounting for the Company’s investments in US Treasury securities * Effect other SEC filings as needed (Form 8-K, Form DEF 14A, Registration Statement on Form S-8, etc.) * Prepare and file local quarterly and annual tax returns including New York Sales and Use Tax and New York City Commercial Rent Tax * Partner with and serve as the main contact for external auditors regarding quarterly reviews and annual audits * Work closely with the Company’s Payroll and Equity Administration, Human Resource, and Legal functions to maintain accurate payroll and equity records * Coordinate with internal stakeholders regarding costs and activities incurred on various contracts; prepare ad hoc analyses as requested * Manage the Accounting department budgeting process and coordinate with FP&A as needed on the company-wide budget to actual process * Maintain working relationships across the Company’s R&D and G&A teams * Seek out opportunities for continuous improvement in the Accounting function, including the application of new software and Artificial Intelligence * Other duties as assigned Required Skills and Qualifications * Bachelor’s degree in Accounting or related field; CPA preferred * 10+ years of progressive accounting experience in the biotechnology industry (8+ years with a Graduate degree) * Public accounting experience at a Big 4 firm preferred * Robust understanding of and experience with: (i) SEC reporting including financial statement preparation and disclosures, Sarbanes-Oxley internal controls compliance, and monthly/quarterly/annual accounting close processes; (ii) US GAAP including accrual-based accounting and accounting for stock-based compensation (preferably at a public biotech company); (iii) ERP and intake-to-pay systems (preferably NetSuite and Zip). * Advanced Excel skills (modeling, pivot tables, VLOOKUPs) * Prior experience mentoring and leading teams * Proven ability to work independently while influencing others * Experience operating in an ever-changing environment Compensation is dependent on qualifications and experience About Lexeo Lexeo Therapeutics is a clinical-stage genetic medicine company headquartered in New York City, pioneering cardiac genetic medicine candidates to treat the root causes of inherited cardiovascular diseases. Our lead program, LX2006, targets cardiomyopathy associated with Friedreich’s Ataxia and anchors a broader pipeline addressing genetically defined conditions such as hypertrophic and arrhythmogenic cardiomyopathies. Backed by a strong financial foundation, Lexeo is positioned to translate groundbreaking science into durable clinical impact. Our work culture is a hybrid model with 2 days/week in the New York City office and 3 days working from home. LEXEO Therapeutics is an EEO employer committed to an exciting, diverse, and enriching work environment. We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

Job DescriptionCompany Description As part of the Wilshire family, you can rest assured that every day you are contributing to an organization that is helping investors improve their financial outcomes. For more than 50 years, Wilshire has been dedicated to providing customized portfolio solutions grounded in research and powered by next generation technologies. Wilshire advises on over $1 trillion in assets for some of the world’s largest and most sophisticated institutional investors and is headquartered in the United States with offices worldwide. Job Description The Senior Analyst will be responsible for supporting the firm’s comprehensive compliance program as an SEC Registered Investment Adviser. This individual will work closely with the Chief Compliance Officer and other stakeholders to help ensure adherence to regulatory requirements, corporate policies, and industry best practices. This position reports to the Chief Compliance Officer. Responsibilities: • Assist with the maintenance, and ongoing administration of the firm’s compliance program in accordance with SEC rules and other applicable regulations., • Conduct the annual review and update of the Compliance Risk Assessment and oversee ongoing refinement of compliance policies and procedures., • In conjunction with the CCO, draft, update, and maintain the annual compliance testing plan, • Conduct routine and ad hoc compliance testing and monitoring, including forensic testing and trade surveillance, to identify and address potential compliance risks., • Coordinate and assist the CCO with the firm’s annual compliance program review, including documentation of findings and remediation efforts., • Assist with preparing compliance decks and updates for presentation to various Wilshire and parent company committees and Boards, • Conduct comprehensive reviews of marketing and advertising materials (including websites, presentations, RFPs, and social media) for regulatory compliance and firm brand standards., • Periodically review and update standard compliance responses for RFPs and DDQs., • Provide backup support for employee compliance with the code of ethics, including personal trading surveillance, gifts and entertainment logs, and outside business activity disclosures., • Assist with certain regulatory filings (e.g., Form ADV, Form CRS, 13F, etc.) and maintain accurate compliance records and documentation., • Assist with the preparation for and management of regulatory exams, audits, and other inquiries from the SEC and other regulators., • Monitor regulatory developments and assist in evaluating their potential impact on the firm’s compliance program., • Respond to compliance questions and escalated matters from business units in a timely and thoughtful manner., • Perform other compliance-related duties and special projects.Qualifications, • Undergraduate degree (Business, Finance, Accounting, Legal Studies or related field preferred), • At least 3 years of experience in a compliance, legal, or audit role within the investment advisory industry, preferably at an SEC-registered investment adviser, • Strong knowledge of SEC regulations including the Investment Advisers Act of 1940 and related compliance requirements, • Familiarity with compliance monitoring, testing protocols, and risk-based assessment approaches, • Experience reviewing marketing/advertising for regulatory compliance (SEC Marketing Rule), • Excellent attention to detail and highly organized with strong analytical and problem-solving skills, • Outstanding verbal and written communication abilities, • High ethical standards and discretion in managing sensitive/confidential information, • Ability to work collaboratively within a team and across departments, • Ability to manage multiple priorities in a fast-paced environment, • Proficiency with Microsoft Office, SharePoint and compliance monitoring platforms (e.g., ACA ComplianceAlpha, Dasseti) is a plus, • Progress toward, or completion of, a relevant compliance certification (e.g., IACCP or similar) a plus Additional Information • This position will work on a hybrid model out of our Santa Monica or New York office Visit for additional company information. Wilshire is an SEC registered investment adviser and required to track certain political contributions under Rule 206(4)-5. As such, you may be required to disclose your prior political contributions. We are an equal opportunity employer, which means we afford equal employment opportunity to all individuals regardless of race/ethnicity, creed, color, religion, sex (including gender and gender identity), national origin, ancestry, age, marital status, veteran status, citizenship status, disability, medical condition (as defined by California Government Code section 12926), or sexual orientation. Our employees, as well as applicants and others with whom we do business, will not be subjected to sexual, racial, religious, ethnic, or any other form of unlawful harassment. In addition, Wilshire adheres to the equal employment opportunity requirements of all states and localities in which it does business. We are completely committed to these principles not only because of the various laws which address these subjects, but because it is the right thing to do for our employees and clients to thrive. If you have a disability, and require reasonable accommodations in the application process, contact Human Resources at or 310-584-6011.

Job Description Tax Partner- RCI New York, NY Hybrid Overview: • Lead and manage complex RCI engagements, including internal investigations, regulatory response, fraud risk assessments, compliance program development, and forensic accounting., • Serve as a trusted advisor to clients across various industries, providing insights on evolving regulatory environments and government enforcement trends., • Ensure high-quality deliverables, adherence to deadlines, and client satisfaction on all projects., • Drive new business opportunities through networking, relationship development, and participation in industry events and thought leadership., • Collaborate with firm leadership to develop go-to-market strategies and service offerings aligned with client demand and market trends., • Expand the RCI practice’s footprint by cultivating long-term client relationships and cross-selling firm-wide capabilities., • Lead, coach, and mentor a team of consultants and senior professionals within the RCI group while fostering a collaborative, high-performance culture that values diversity, integrity, and innovation. Background: • CPA, JD, or CFE certification required., • 10 + years of experience in regulatory compliance, forensic accounting, investigations, or related advisory work., • Prior experience working in government agencies is required., • Experience with business development., • Strong knowledge of Federal, State and Local regulatory frameworks (e.g., DOJ, SEC, OFAC, FCPA, AML, DOL, MWBE, NYS 421-A, 485-X white collar defense, etc.). Spartan Placements is an equal opportunity employer. All terms and conditions of employment, including, but not limited to, recruitment, placement, title, promotion, compensation, benefits, transfers, training, education, research, administration and programming, will be administered without regard to race, color, religion, sex, age, sexual orientation, national origin or ancestry, handicap, or status as a disabled veteran.

Job Description About Figure Figure (NASDAQ: FIGR) is transforming capital markets through blockchain. We're proving that blockchain isn't just theory - it's powering real products used by hundreds of thousands of consumers and institutions. By combining blockchain's transparency and efficiency with AI-driven automation, we've reimagined how loans are originated, funded, and traded in secondary markets. From faster processing times to lower costs and reduced bias, our technology is helping borrowers, investors, and financial institutions achieve better outcomes. Together with our 170+ partners, we've originated over $17 billion in home equity loans (HELOCs) on our blockchain-native platform, making Figure the largest non-bank provider of home equity financing in the U.S. Figure's ecosystem also includes YLDS, an SEC-registered yield-bearing stablecoin that operates as a tokenized money market fund, and several other products and platforms that are reshaping consumer finance and capital markets. We're proud to be recognized as one of Forbes' Most Innovative Fintech Startups in 2025 and Fast Company's Most Innovative Companies in Finance and Personal Finance. About The Role Figure is a financial technology company leveraging blockchain to transform the multi-billion dollar lending and capital markets industries. We are seeking a Chief Credit Officer to serve as the primary architect for our credit risk strategy across our growing suite of secured lending products. This role sits at the critical intersection of Capital Markets and Growth Strategy, requiring a leader who can balance aggressive innovation with responsible homeownership enablement. Unlike traditional banking roles, you will operate in a high-velocity environment where automation and systematic, data-driven logic are the foundation for radical top-of-funnel growth. You will be the primary point of contact for institutional relationships and agencies, ensuring our products maintain best-in-class execution for consumers and investors alike. What You'll Do • Lead an organization of credit professionals directly accountable for managing risk across a diverse lending portfolio, including Home Equity products., • Set enterprise-wide credit risk strategy across originations, pricing, portfolio management, and collections to drive the best outcomes for the lender and investor., • Chair the Credit Committee and engage directly with the CEO and Board of Directors on all credit-related matters., • Develop and iterate on proprietary loan products, leading risk analysis and consumer iterations to find perfect product/market fit., • Drive automation efforts to compress the funnel from application to final approval, utilizing technology to remove legacy industry inefficiencies., • Act as the primary liaison to regulatory bodies such as the OCC, FRB, and FDIC, ensuring all credit risk matters align with evolving supervisory expectations., • Oversee loss forecasting, financial modeling, and stress testing (CCAR) methodologies to provide senior management with thoughtful analysis of key credit drivers., • 15–20+ years of experience in credit risk management and portfolio oversight., • Extensive background in Mortgage and Home Equity credit risk, including LTV/CLTV management and valuation models., • Proven success working outside of a "Big Bank" environment for a portion of your career, thriving in agile, high-growth, or startup settings., • Demonstrated ability to develop a systematic secondary marketing group and manage primary/secondary market inefficiencies., • Advanced understanding of loss forecasting and the conceptualization of investment logic to automate credit decisioning., • Compensation Range: $210,000 - $263,000/yr, • 25% annual bonus target, paid quarterly, • Company equity in the form of RSUs, • Comprehensive health, vision, and dental insurance with 100% employer-paid premiums for employees and their dependents on select plans, • Company HSA, FSA, Dependent Care, 401k, and commuter benefits, • Employer-funded life and disability insurance coverage, • 11 Observed Holidays & PTO plan, • Up to 12 weeks paid family leave Figure will not sponsor work visas for this position. In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon hire. #LI-MM1 #LI-Remote

Job Description Director of Compliance Location: New York, NY 10005 or Chicago, IL 60605 Salary Range: $175,000-200,000, plus performance-based bonus Group One Trading is seeking a Director of Compliance to lead the full operation of the Compliance Department from surveillance and investigations to regulatory reporting and training programs. You'll work closely with business leaders, technology teams and the Chief Compliance Officer to build a compliance framework that protects the firm while enabling strategic growth. The ideal candidate combines deep regulatory expertise with a pragmatic, collaborative approach and strong problem-solving skills. WHO WE ARE We are committed to creating a diverse environment and are proud to be an equal opportunity employer. At Group One, we value transparency and collaboration coming from unique perspectives and backgrounds. We hire bright, analytical, and competitive people and train them to be the best in the industry. We strive to create a workplace in which all employees have an opportunity to participate and contribute to the success of the business. A healthy work-life balance is essential to sustaining our work culture and our overall success. We rely on our employees to spur creativity, enhance problem-solving, and help us thrive in the high-pressure trading industry. WHAT WE DO Group One Trading was founded in San Francisco in 1989, and we've become one of the largest privately held options trading firms in the United States, with brilliant people on our team in New York, Chicago, Philadelphia, and San Francisco. We continue to expand our presence on exchanges as the options trading space evolves and grows. Armed with expertise developed through a rigorous training program, our traders provide competitive liquidity across a broad range of securities. We manage portfolios of thousands of securities and electronically stream two-sided quotes across multiple exchanges. Group One is wholly owned by its founders and employees, and all our trading is proprietary, placing both the rewards for our success and managerial oversight directly in our team's hands. RESPONSIBILITIES • Oversee full department operations including surveillance, investigations, regulatory reporting, testing, and training programs, • Design and implement compliance processes that balance regulatory requirements with business practicality, • Lead complex investigations and matters requiring senior-level involvement, • Provide expertise on novel compliance situations and ambiguous regulatory matters, • Lead cross-departmental initiatives requiring compliance input or oversight, • Ensure quality assurance for all compliance deliverables and work product, • Monitor team capacity and performance metrics to maintain program effectiveness, • Coordinate regulatory examinations and serve as primary working-level contact with regulators, • Deep operational and regulatory knowledge across SEC, FINRA, and exchange rules, • Strong understanding of options trading and market structure, • Experience across multiple compliance functional areas (surveillance, investigations, testing, reporting), • Expertise in surveillance systems, investigation methodologies, and testing protocols, • Ability to translate complex regulatory requirements into practical operational procedures, • Demonstrated analytical and problem-solving skills with the ability to synthesize complex information and provide actional recommendations, • Minimum of 7 years of progressive compliance responsibility in financial services, with at least 5 years in an options/derivatives trading environment, • Series 7/57 and Series 24 are required; Series 4 preferred, • Bachelor's degree required; advanced degree (MBA, JD, or relevant Master's) strongly preferred, • Working knowledge of coding languages such as SQL and Python preferred This is a role that requires a significant in-office presence. THE BENEFITS Our Director of Compliance earns a competitive salary, including a performance-based bonus. We provide fantastic benefits, including 401(k) and Roth 401(k) retirement plans with employer matching, medical, dental, vision, generous vacation time, paid holidays, parental leave, and flexible spending accounts (FSA) for health care, dependent daycare, and parking or mass transit expenses. Job Posted by ApplicantPro

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: Join Alpaca Securities' dynamic and fully remote AML Compliance team dedicated to safeguarding the integrity of the financial markets. As the AML Compliance Manager, you will play a critical part in supporting the Securities and Crypto BSA/AML, Anti-Fraud, and Fraud Monitoring programs. You will lead and support investigations, ensure regulatory compliance, strengthen internal controls, and collaborate closely with cross-functional teams to build a scalable, risk-based AML compliance infrastructure that evolves with our business and regulatory demands. This position reports directly to the AMLCO (Anti-Money Laundering Compliance Officer). Key Responsibilities: • Partner with the AMLCO (and/or CCO) to maintain, enhance, and operationalize the firm's CIP/KYC, AML, Anti-Fraud, and Fraud Monitoring initiatives across both the firm's Securities and Crypto entities., • Lead and maintain periodic firm-wide risk assessments covering BSA/AML, sanctions, fraud, and surveillance programs., • Oversee transaction monitoring systems, blockchain analytics tools, and case management workflows., • Conduct in-depth investigations into potential suspicious activity across crypto, equities, and other financial instruments, including market manipulation, fraud, account takeovers, money laundering typologies, and other financial crimes through transaction monitoring alerts, escalations, and referrals., • Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with FinCEN requirements and internal policies., • Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries., • Partner with internal stakeholders and assist during external audits, examinations, and regulatory inquiries and engagements., • Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols., • Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms., • Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors., • Stay current on evolving regulatory requirements and industry best practices, with a focus on the Bank Secrecy Act, the USA PATRIOT Act, OFAC sanctions programs, MSB AML Regulations and applicable federal and state laws, rules and regulatory expectations, and proactively assess their impact on the firm's business and compliance programs. What You Bring (Required Qualifications): • 5–8+ years AML, fraud, or financial crime investigations experience at FINRA broker-dealer and/or crypto MSB., • Strong understanding of BSA/AML, USA PATRIOT Act, OFAC, FinCEN MSB requirements, and FINRA/SEC rules., • Demonstrated ability to identify and escalate potential market manipulation or suspicious trading activity., • Experience with transaction monitoring systems, case management tools, open-source intelligence (OSINT) research and investigations and blockchain analytics., • Strong analytical, documentation, and SAR-writing skills., • Effective communication and problem-solving abilities., • Proficient in Google Sheets or MS Excel, including pivot tables and advanced filtering., • Working knowledge of domestic and international payment rails., • FINRA Series 7 license (or willingness to obtain within six months of hire)., • Ability to work independently and collaborate across functional teams in a remote setting.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job Description Be Part Of A High-Performing Team: Join a global financial services institution known for its strong regulatory culture and commitment to risk management excellence. This organization operates across major global markets and maintains a reputation for disciplined governance, regulatory transparency, and operational integrity. The Compliance Department Americas Division plays a critical role in ensuring regulatory alignment across investment and asset management activities. The team collaborates closely with corporate compliance, risk, and investment management stakeholders to strengthen regulatory controls, build sustainable compliance frameworks, and maintain exam-ready documentation for regulators such as the SEC. Professionals on this team work in a structured yet fast-paced environment where regulatory insight, analytical thinking, and cross-functional collaboration are highly valued. What's In Store For You: Engagement: W2 only (no C2C/1099) • Opportunity to work within a highly regulated global financial institution supporting regulatory and compliance initiatives, • Exposure to SEC Registered Investment Adviser regulatory frameworks and asset management compliance programs, • Opportunity to contribute to enterprise risk and compliance initiatives with visibility across corporate compliance and risk teams, • Translate control assessments and compliance taxonomy into a comprehensive risk and control inventory specific to asset management operations, • Design and implement compliance monitoring and testing plans aligned with SEC regulatory requirements, • Identify and document regulatory control gaps across Corporate Compliance and Risk functions, • Support the development of exam-ready regulatory documentation for internal and external regulatory reviews, • Conduct risk assessments and control evaluations tied to the SEC Registered Investment Adviser compliance framework, • 10+ years of experience in regulatory compliance, risk management, or control frameworks within financial services, • Direct experience supporting SEC regulatory compliance within the investment management or asset management industry, • Hands-on experience working with SEC Registered Investment Adviser compliance frameworks, • Experience building or managing risk and control inventories, monitoring programs, or testing frameworks, • Proven ability to perform compliance risk assessments and document regulatory controls, • Experience preparing documentation for regulatory examinations and internal compliance reviews, • Strong understanding of regulatory governance, control design, and regulatory reporting processes, • Ability to collaborate with compliance, risk, and business stakeholders across complex organizations, • Strong analytical, documentation, and communication skills

Job Description Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: The Director of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm's compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships. Things You Get To Do: • Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm., • Partner with business units to understand workflows, monitor controls, and implement compliance process improvements., • Draft, update, and maintain compliance policies and supervisory procedures., • Review advertising, marketing, and electronic communications for regulatory compliance., • Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses., • Assist in the preparation and submission of required regulatory filings and reports., • Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads., • Assist in the preparation and submission of required regulatory filings and reports., • Experience with new product launches and ongoing product governance. Who You Are (Must-Haves): • At least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment., • Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations., • Strong written communication skills for drafting regulatory documentation and policies., • Proven ability to work independently and produce actionable compliance work, not just advisory guidance., • Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements., • Proficiency in using compliance software and tools., • High ethical standards and a commitment to maintaining confidentiality., • Bachelor's degree in Finance, Business, Law, or a related field., • Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.How We Take Care of You:, • Competitive Salary & Stock Options, • Health Benefits, • New Hire Home-Office Setup: One-time USD $500 Recruitment Privacy Policy

Job DescriptionDirect Counsel is seeking a Global Regulatory Enforcement Associate Attorney (Junior-Level) to join a national law firm in New York. Overview Direct Counsel is recruiting a junior associate attorney to join the Global Regulatory Enforcement Group. Candidates will assist with litigation, government investigations, and SEC enforcement matters. Federal clerkship or prior government/prosecutorial experience is a plus. Candidates with a CPA license are strongly preferred. Key Responsibilities * Support litigation and regulatory enforcement matters, including SEC investigations. * Conduct legal research, draft memoranda, and assist with case management. * Collaborate with partners and senior attorneys on client matters. * Participate in strategy sessions and compliance assessments. Qualifications * 1–2 years of experience in litigation, government investigations, or regulatory enforcement. * JD from an accredited law school and active membership in the New York bar. * CPA license preferred; federal clerkship or government/prosecutorial experience helpful. * Strong analytical, writing, and communication skills. Compensation The anticipated salary range for this role is $225,000 – $235,000, depending on experience. Benefits Comprehensive benefits include medical, dental, vision, life and disability insurance, 401(k), paid family leave, paid time off, flexible spending and health savings accounts, mental health support, transportation benefits, childcare support, tuition assistance, and optional supplemental insurance programs.

Job Description BBR Partners is a premiere, boutique wealth management firm providing customized investment strategies and bespoke advice to high-net-worth individuals and families. The firm was founded in early 2000 and for over 25 years, we have nurtured our culture with talented people from diverse backgrounds who care about each other, our clients, and our collective communities. In our quest for continuous improvement, we strive to develop not only world class talent but world class humans! Job Description: BBR partners is seeking a DevOps Engineer, to play an integral role as a member of its IT department, working closely with Software Development & Data Engineering teams. This person is responsible for designing, implementing, and managing the systems, tools, and automation that support continuous integration, continuous delivery (CI/CD), and scalable infrastructure. We are looking for a highly motivated self-starter with a strong work ethic who enjoys contributing to a small-firm environment. This is a full-time position that requires a minimum of 8 years of experience and the ability to work on premises from our New York City headquarters three days per week. Responsibilities: • Cloud Infrastructure & Automation, • Design, build, and maintain secure, scalable cloud environments (preferably Azure) using Infrastructure as Code (Terraform)., • Build and maintain standardized, hardened machine images using HashiCorp Packer to support immutable infrastructure, security baselines, and rapid recovery, • Implement network segmentation, private endpoints, and secrets management (e.g., Azure Key Vault, AWS Secrets Manager)., • CI/CD Engineering, • Own architecture and standards for CI/CD pipelines (GitHub Actions, Azure DevOps, GitLab CI/CD, Jenkins/Octopus) with:, • Automated testing and quality gates, • Security scanning (SAST, DAST, dependency scanning), • Artifact management and controlled deployment strategies., • Enable development teams through reusable templates, modules, and golden pipelines., • Own and enforce version control best practices across application code, infrastructure-as-code, and CI/CD pipelines, including branching strategies, peer review, and controlled releases., • Automate change management controls through CI/CD workflows, approvals, and versioned deployments to support audit and regulatory requirements, • Containerization & Orchestration, • Build and optimize containerized workloads (e.g., Docker, Kubernetes) including GitOps and service mesh integrations., • Security, Compliance & Governance, • Embed security-by-design principles into all layers of the platform., • Implement guardrails, policy-as-code, and automated evidence collection aligned with SEC expectations and NIST/ISO frameworks., • Observability & Reliability, • Deploy and maintain observability stacks (metrics, logs, traces) using tools like Datadog and/or Logic Monitor., • Define SLOs, SLIs, and error budgets; lead incident response and postmortems., • Data Platform & Integrations, • Own platform infrastructure for data pipelines (Airflow, dbt), support the enforcement of data quality and lineage, and protection of PII through encryption and masking., • Support secure integrations with custodians, trading systems, CRMs, market data providers, and internal APIs., • Developer Experience & Enablement, • Enable engineering teams to self-service with platform tooling, best practices, and documentation (confluence)., • Hands on experience with cloud platforms (Azure preferred, AWS/GCP acceptable)., • Strong proficiency with Infrastructure as Code, especially Terraform., • Experience building and maintaining CI/CD pipelines, • Strong knowledge of Linux/Windows systems and scripting skills., • Experience with containers and orchestration platforms., • Experience with configuration management tools (Ansible, Puppet, Chef)., • Security mindset: key management, secrets management, compliance., • Knowledge of SDLC and Agile methodologies., • Understanding of networking fundamentals (DNS, load balancing, firewalls)., • Familiarity with site reliability engineering (SRE) practices., • An undergraduate degree in Information Technology or a related field with a strong academic track record is preferred, • Must have strong communication skills (written and verbal) and critical thinking skills, • Must be successful working in a team-based environment, • Must be highly motivated, proactive, ethical, and professional, • Solid organizational skills including attention to detail and multi-tasking skills, • Experience driving DevOps adoption in organizations with established IT operations., • Demonstrated ability to influence stakeholders and drive cultural change., • Competitive base salary and incentive compensation., • Company subsidized medical/Rx, dental and vision insurance for employee, partner, and dependents., • 401K plan, Life insurance, and short & long-term disability coverage., • One Medical membership (covered for employee and dependents), Employee assistance program (EAP), Gym reimbursement and other wellness offerings., • Pre-tax transit and parking programs, Health Savings Account (HSA) and flexible spending programs for medical and dependent care., • Personalized development and career growth opportunities., • Volunteerism opportunities and matching gift program., • Flexible time off, paid parental leave, and Sabbatical with company tenure., • Hybrid remote work environment, "Work from Anywhere" weeks, and business casual dress. Base salary for this position will be determined during the interview process and will vary based on multiple reasons, including but not limited to prior experience, relevant expertise, current business needs, and market factors. The expected base salary for the role will generally be between $150,000 and $200,000 per year at the commencement of employment, but the final salary offered may be outside this range based on these reasons and individual circumstances. Additionally, base salary is only part of the total compensation package, which, depending on the position, may also include discretionary bonuses, alternative incentive packages and Company-sponsored benefit programs. This position is at-will, and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.