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Job DescriptionDirect Counsel is seeking an Executive Compensation, Benefits, and ERISA Senior Associate or Of Counsel to join a nationally respected, full-service law firm with a premier transactional practice. This role is available in either New York or Palo Alto and offers the opportunity to work on cutting-edge matters alongside recognized leaders in the field.Position Overview: The firm is seeking a senior-level attorney with a minimum of seven years of experience advising on executive compensation, employee benefits, and ERISA matters, particularly in the context of complex corporate transactions. The ideal candidate will bring both technical depth and commercial judgment to support clients across a range of industries. This position involves direct client interaction and strategic counseling on a wide variety of matters related to M&A, private equity transactions, and corporate restructurings. The role also includes high-level work on equity compensation plans, employment agreements, and SEC compensation disclosures. Key Responsibilities: * Advise public and private companies, boards of directors, and senior executives on the design, implementation, and operation of executive compensation and incentive plans. * Support corporate transactional work by leading compensation and benefits diligence, drafting and negotiating related provisions in purchase agreements, and advising on post-closing integration issues. * Analyze and advise on the application of IRC §§ 280G and 409A, as well as ERISA and other applicable laws. * Assist clients with the preparation of proxy statements and other SEC filings relating to executive compensation and benefits. * Provide guidance on equity arrangements, severance plans, deferred compensation, and retention programs. * (Bonus) Provide general advice on tax-qualified retirement plans, health and welfare plans, and compliance with COBRA, HIPAA, and ACA requirements. Qualifications: * Minimum of 7 years of relevant experience at a top law firm or sophisticated boutique. * Deep transactional experience with compensation and benefits issues, particularly in M&A and private equity contexts. * Strong knowledge of IRC, ERISA, and federal securities laws as they apply to compensation matters. * Excellent writing, drafting, and negotiation skills. * Outstanding academic credentials. * Admission to the bar in New York or California (depending on the office location). * Experience working with high-profile clients and managing multiple matters simultaneously in a fast-paced environment. Preferred Experience: * Experience counseling public companies on SEC disclosure requirements and Say-on-Pay issues. * Familiarity with cross-border compensation issues and multinational equity plans. * Background in employment-related matters is a plus but not required. Compensation: * Annual base salary range: $420,000 – $500,000 (Actual salary will be determined based on experience and qualifications.) Why Join? This firm offers the resources of a global platform with the feel of a tight-knit, collaborative practice. Attorneys benefit from a robust pipeline of high-end work, strong associate development programs, and a culture that values both excellence and collegiality.

Job Description Our client, a well-established publicly traded retail company, is seeking a Vice President – Controller to lead their corporate accounting and reporting functions. This is a highly visible leadership role responsible for overseeing all aspects of financial reporting, operational accounting, and internal controls in a complex, fast-paced public company environment. Key Responsibilities: * Lead and manage the corporate accounting function, including general ledger, month-end close, accounts payable/receivable, fixed assets, and payroll. * Oversee the preparation and filing of all SEC reports (10-Q, 10-K, 8-K), ensuring accuracy, timeliness, and compliance with U.S. GAAP and SEC regulations. * Maintain and enhance SOX compliance and internal control frameworks across all accounting processes. * Partner with FP&A, Treasury, Tax, and other cross-functional teams to support strategic and operational initiatives. * Provide leadership and mentorship to a growing team of 5+ accounting professionals, fostering a culture of accountability, accuracy, and continuous improvement. * Serve as a key accounting advisor to executive leadership and external auditors. Qualifications: * Bachelor's degree in Accounting, Finance, or related field; CPA required. * 10+ years of progressive accounting experience, including recent experience in a U.S. publicly traded company. * Proven track record of ownership over SEC filings (10-Q/10-K). * Strong knowledge of U.S. GAAP, SOX compliance, and operational accounting best practices. * Hands-on, detail-oriented leader with the ability to operate strategically while managing daily accounting functions. * Prior experience in retail, consumer products, or multi-entity environments is highly desirable.

Job DescriptionJob Title: Litigation Associate – Securities Locations: New York, NY | Orange County, CA | San Diego, CA | San Francisco, CA | Silicon Valley, CA | Washington, D.C. Practice Area: Securities Litigation Experience Level: Minimum 2 YearsPosition Summary Direct Counsel is representing an AmLaw 100 law firm seeking a Securities Litigation Associate to join its national litigation team. The firm serves high-profile clients across industries, offering deep expertise in securities law and representing clients in major financial and business hubs across the U.S. This role is ideal for an associate looking to work on complex and high-impact securities matters. Key Responsibilities * Represent clients in securities litigation, including class actions, shareholder derivative suits, and SEC enforcement proceedings. * Draft motions, pleadings, discovery responses, and other litigation documents in high-stakes securities cases. * Assist with internal investigations and counsel clients on regulatory compliance and corporate governance. * Manage multiple case assignments and collaborate with partners, associates, and client teams. * Participate in depositions, hearings, and potentially trial preparation. Qualifications * Juris Doctor (JD) from an accredited law school. * Licensed to practice law in at least one of the listed jurisdictions or eligible for admission. * Minimum 2 years of experience handling securities litigation matters. * Strong knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, and related SEC regulations. * Excellent legal writing, research, and oral communication skills. * Demonstrated ability to work effectively on complex litigation matters with minimal supervision.

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 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., • 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., • 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 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: Director of Operations, Middle Office EMPLOYER: A-CAP Management LLC DEPARTMENT: Asset Management REPORTS TO: Director of Investment Reporting LOCATION: Onsite in NYC ABOUT THE COMPANY The A-CAP () group consists of five life insurance/reinsurance companies/captives, an asset manager and various other non-insurance companies. The asset manager primarily invests in structured securities including CLOs, CMBS, ABS and collateralized lending, direct real estate lending, private credit, and equity for both internal and external clients. A-CAP’s management team and operational professionals have diverse experience and proven success across the insurance, reinsurance, and investment sectors with an average of 20 years of experience. Assets under management are approximately $10 billion and growing at over $500 million, annually. A-CAP’s offices are in New York, Salt Lake City, and Miami. A-CAP Management “ACM” is the asset management arm of A-CAP. ACM formally launched in April 2014 as an SEC registered investment advisor. As of 12/31/21, ACM manages $4.9B of assets. ACM aims to provide a cost-effective way for small to mid-size insurance companies to rapidly gain exposure to less liquid and new asset classes that are generally outside the scope of traditional insurance company asset managers. Our overriding goal is to positively impact an insurance company’s financial position and support their long-term stability and growth through: • Maintaining credit quality and matching asset liability profiles, • Strengthening the insurance company balance sheet, • Maintaining or improving return on capital, • Supporting long term stability and growth with acute sensitivity to insurance regulatory, accounting, and capital issues WHAT YOU WILL DO: • Oversee end-to-end trade booking validation and ensure accurate and complete data capture across systems, • Lead and manage position and cash reconciliation processes, • Develop and maintain data integrity controls and exception management frameworks, • Manage trade catch-up workflows for historical booking accuracy, • Work with the front office, risk, accounting, and fintech teams to maintain consistent and accurate investment data across systems, • Identify and drive operational efficiency initiatives and lead system enhancementsWHAT YOU WILL NEED:, • Strong academic performance with 5+ years of experience in fixed income operations., • Deep understanding of trade lifecycle, portfolio accounting, and multi-system data reconciliation, • Proven experience interpreting credit agreements, bespoke deal terms, and translating into operational workflows, • Advanced Excel skills; experience working with large data sets and producing analytical reports, • Excellent interpersonal and communication skills; confident working across departments and with senior stakeholders, • Strong leadership and problem-solving skills; ability to drive initiatives independently A-CAP works hard to create a positive and supportive environment. That's why we offer great benefits to safeguard the health and well-being of our employees. Our comprehensive benefits package includes: • Competitive compensation programs, • Employer-sponsored medical, dental, and vision insurance, • Paid Life & AD&D Insurance (for employees and families), • Paid Disability Insurance (STD + LTD), • Paid Parental Leave, • Paid Vacation and Sick Leave, • Paid Holidays, • Voluntary Supplemental Insurance, • Safe Harbor 401(k) plan with employer match, • And other benefits and perks! POSITION TYPE AND EXPECTED HOURS OF WORK This is a full-time position. Days and hours of work are Monday through Friday, 9:00 a.m. to 6:00 p.m., 40 hours weekly, or as otherwise arranged with the manager of the department. US work authorization is required. Who We Are: EEO Statement A-CAP is an Equal Opportunity Employer and does not discriminate in recruiting, hiring, promotion or any other personnel action based on the basis of race, ethnicity, national origin, color, sex, gender, gender identity or expression, sexual orientation, religion, age, disability, veteran status, or any other basis covered by appropriate law. We comply with the laws and regulations set forth in the Know Your Rights poster. All employment is decided on the basis of qualifications, merit, and business need. To request an accommodation, contact and we will make every effort to respond to your request within 48 business hours to work towards a positive solution. Disclaimer: The above is intended to describe the general content of and requirements for the performance of this job. It should not be construed as an exhaustive statement of duties, responsibilities, or physical requirements. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Powered by JazzHR FFZCNYVKcj

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. About our role: We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes, mitigating risk, and maintaining compliance with regulatory standards. This position requires a proactive approach to identifying inefficiencies, implementing controls, and optimizing procedures to enhance operational effectiveness. Key Responsibilities: • Operational Oversight: Monitor daily operations, trade settlements, reconciliations, and financial transactions to ensure accuracy and compliance., • Risk Management: Identify, assess, and mitigate operational risks, developing strategies to enhance controls and minimize errors., • Regulatory Compliance: Ensure adherence to SEC, FINRA, and other regulatory requirements while maintaining proper documentation and reporting., • Process Improvement: Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost efficiency., • Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes align with industry best practices and regulatory standards., • Cross-functional Coordination: Work closely with Clearing, Finance, AML, Compliance, Cash Management and Stock Transfer teams to streamline operations., • 10+ years of experience in Operations Control within a Broker-Dealer environment., • Strong understanding of SEC, FINRA, and regulatory frameworks governing Broker-Dealer operations., • Expertise in trade reconciliations, risk management, and compliance monitoring., • Proficiency in industry systems (e.g., DTCC, OCC, Bloomberg, or similar platforms)., • Exceptional analytical and problem-solving skills with attention to detail. Effective communication and collaboration abilities in a fast-paced environment. What We Offer: • 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 $90,000 - $125,000. 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. Apply for this job

Job DescriptionAssociate – Finance – Structured Finance Locations: Chicago, Century City, New York, San Francisco Experience Level: 2+ Years Direct Counsel is partnering with a global leader in legal innovation and deal execution—a top-tier law firm known for shaping the financial markets through groundbreaking legal work. The firm is currently seeking experienced associates to join its premier Structured Finance Practice, working across high-profile offices including New York, Chicago, Century City, and San Francisco. If you’re passionate about financial markets, cutting-edge deal structuring, and working alongside some of the most respected attorneys in the field—this is your opportunity. Why This Role Stands Out: Join a market-leading team recognized for its work on the most complex and innovative structured finance transactions in the industry. This group is at the forefront of developing novel structures and bringing first-time securitizations to market—across traditional and emerging asset classes. What You'll Do: * Advise on structured finance transactions, including ABS, RMBS, CMBS, CLOs, and whole business securitizations * Draft and negotiate offering documents, transaction documents, and related legal opinions * Collaborate with a cross-functional team of attorneys and clients to design new deal structures * Navigate regulatory frameworks (e.g., SEC, risk retention, Volcker Rule) in both domestic and cross-border transactions * Work with institutional lenders, issuers, underwriters, investors, and rating agencies on bespoke financing solutions What You Bring: * Experience: * At least 2 years of hands-on experience in structured finance and securitization work at a peer firm * Skills: * Strong drafting and analytical skills * A commercial mindset and attention to deal timelines * Ability to manage multiple transactions concurrently in a fast-paced, collaborative environment * Education: * J.D. from a top law school with strong academic performance * Bar Admission: * Active member in good standing with at least one U.S. state bar (NY or CA preferred depending on office) Why Join This Firm: * Work with trailblazing attorneys shaping the future of the securitization market * Access to global clients, resources, and training unmatched by any other firm * Thrive in a highly collaborative environment that invests in your growth * Enjoy clear paths for advancement and a firm culture that values excellence and innovation Ready to be part of one of the most sophisticated finance teams in Big Law? Apply now to take the next step in your structured finance career with a global leader.

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. About the Role We are seeking a reliable, adaptive, and detail-oriented Cash Management Analyst to support our finance team. This entry level role is ideal for someone who thrives in a data-driven environment and is passionate about automation, accuracy, and financial systems. You’ll play a key role in maintaining smooth cash flow operations across multiple entities, banking portals, and internal systems. As a Cash Management Analyst, you will assist with daily cash operations, bank reconciliations, and automation initiatives. You’ll work across multiple banking platforms and internal systems to ensure liquidity and accuracy in financial transactions. This role offers exposure to treasury, operations, financial reporting, and cross-functional collaboration with Settlements, Operations, and Accounting teams. What You’ll Do • Perform daily cash position reporting and reconciliation across multiple bank portals., • Assist in automating cash management workflows using Excel, macros, and other tools., • Support data entry and validation for transactions and bank activities., • Monitor and maintain bank balances, ensuring sufficient funding for multiple accounts., • Collaborate with finance and other teams to resolve discrepancies and optimize processes., • Help maintain documentation and SOPs for cash management procedures. Qualifications • Bachelor’s degree in finance, accounting, business, or related field., • Strong proficiency in Excel (pivot tables, formulas, macros); experience with automation tools is a plus., • Detail-oriented with excellent organizational and time management skills, along with effective communication abilities, are essential for success in this role., • Reliable and adaptable in a fast-paced, evolving environment., • Experience with automation platforms (e.g. Python scripting)., • Familiarity with banking portals and/or financial reporting tools., • Understanding banking processes and or accounting. Benefits What We Offer: • Competitive salary and performance-based bonuses., • Comprehensive benefits package, including health, dental, and retirement plans., • Opportunities for professional growth and development. 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 Lateral Associate – Corporate – Investment Funds Practice Area: Corporate – Investment Funds Location: New York, NY 10036 Schedule: Full-Time, Billable hours target typically 1,900–2,000 annually, Hybrid/On-site Salary: $225k - $375k base salary The Client: A globally recognized, AmLaw 20 law firm with a reputation for sophisticated deal-making and complex advisory work across multiple industries. The firm’s Investment Funds group advises prominent asset managers, financial institutions, and private equity sponsors on fund formation, regulatory compliance, and cross-border investment structuring. This lateral position is open due to strategic growth in the New York office to meet increased client demand in the private funds space. Description Investment Funds team handling the structuring, formation, and management of private investment funds, including private equity, hedge, credit, and hybrid funds. You will work on drafting and negotiating fund documentation, side letters, investor communications, and governance agreements. The role includes advising clients on SEC and other regulatory considerations, conducting due diligence on fund managers and investors, and collaborating with tax, ERISA, and cross-border teams to provide holistic client solutions. This position offers an opportunity to work directly with leading sponsors and institutional investors, gaining exposure to multi-jurisdictional fund structures and complex investment strategies. For the right candidate, the role provides a long-term career trajectory toward counsel or partner track in a practice area that continues to see global growth. Qualifications: • 3–6 years of experience in investment funds or private equity transactions at a top-tier law firm., • Strong knowledge of fund formation, investment management agreements, and partnership/LLC structures., • Familiarity with Investment Advisers Act, Securities Act, and other relevant U.S. regulatory regimes., • Experience negotiating with sophisticated institutional investors., • Strong drafting, analytical, and organizational skills., • Ability to manage multiple transactions simultaneously in a fast-paced environment., • Excellent interpersonal skills and a team-oriented approach., • Admission to the New York Bar (or eligibility to waive in). This job advertisement is a general announcement created to attract qualified candidates on behalf of our client. It is not a complete job description or an offer of employment. Salary and benefits details may vary and are not always disclosed. We are an Equal Opportunity Employer and encourages individuals of all religions, nationalities, genders, sexualities, ideologies, creeds, beliefs or backgrounds who are qualified for the role to apply!

Job Description Corporate Actions Associate • Daily interaction with clients, custodians, agents, and other business groups including the operations and accounting teams, • Responsible for handling moderately intricate to extremely complex corporate action events across multiple counterparts, • Receipt of custodian announcements, the scrubbing/comparison of data, and the notification of corporate action events to a specific client., • For all voluntary events, you would be responsible for soliciting and receiving responses from the Front Office and for submitting these instructions to the various custodians prior to their deadline dates, • Responsible for submitting proxies on behalf of the front office, • Will work on multiple internal systems, as well as other custodian proprietary online systems, to perform the above functions, • Responsible for reviewing file folders for completion and compliance with operating procedures and execution of risk controls, • Identifying and investigating corporate actions using relevant market information, • Ongoing maintenance of Security Master T&C and UDF's across all Sec Master Platforms (includes but are not limited to below security types):, • Loans (Term, Revolving, Delayed Draw), • Bonds (Corp, Gov't, CVB), • Credit Default Swaps, • Equities (Stock, Depository Receipts, ETF's), • 2-7 years' experience in the financial industry

Job Description As VP of Finance and Accounting, you’ll be the firm’s senior finance leader — but also its core executor. This is a roll-up-your-sleeves role, ideal for someone who is comfortable both building strategy and completing the day-to-day accounting, reporting, and compliance tasks themselves. The VP of Finance and Accounting is also responsible for managing the financial activities of the company, adhering to generally accepted accounting principles (GAAP) and the rules established by the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and other regulatory entities. You will work directly with the CEO and be deeply involved in financial decision-making. Responsibilities • Own and execute all accounting and finance operations — from data entry to month-end close to management-level reporting., • Handle general ledger accounting, journal entries, account reconciliations, and accruals., • Develop and manage the budget and forecasts; track performance against plan and provide actionable insights., • Lead and perform cash management activities, including daily cash tracking, funding settlements, managing reserve requirements, and optimizing liquidity across accounts., • Monitor capital adequacy, liquidity, and cash flow to ensure compliance with internal policies and regulatory thresholds., • Identify and establish policies and procedures to manage Company risk, including trading, counterparty, and other fraud risks., • Prepare all regulatory reports for submission: FOCUS reports, Net Capital computations, Customer Reserve calculations, and other FINRA/SEC/SIPC filings., • Design, document, and improve financial processes, internal controls, and policies in a way that is scalable but practical., • Monitor counterparty, ACH, positional, and other risks associated with the Company’s various product lines., • Partner with compliance, human resources, legal and technology to develop and identify operational efficiencies, systems, controls, and procedures for improvement., • Partner with the Director of Trade Operations and Risk in establishing, executing, and maintaining the Risk Framework and policies across all products, including new activity assessments, operational risk/loss events, scenario analysis, risk and control self-assessments (RCSA), and emerging risk identification., • Develop and maintain operational risk metrics and reporting, including capital usage, cost of carry, position movements, and inventory positions., • Manage relationships with external auditors, regulators, banks, and tax advisors., • Build and maintain accounting and reporting tools, including QuickBooks, and Excel models, • Own and coordinate audits and tax filings, working closely with external auditors, tax advisors, and compliance vendors., • Self-starter who can operate autonomously, prioritize effectively, and own the function end-to-end., • Ability to thrive in a small team, wearing multiple hats, and switching between strategic and tactical work., • Detail-oriented, strategic thinker with analytical problem-solving capabilities., • Excellent judgment, conflict resolution skills and interpersonal skills., • Demonstrated ability to execute quickly, work under pressure and handle time sensitive items., • Trustworthy and ability to maintain confidentiality., • Exceptional verbal, written, and visual communication skills., • Ability to juggle many different projects and priorities simultaneously., • Comfortable with ambiguity, adapts to change and navigates organizations with confidence., • Master’s degree in accounting, business accounting, or finance., • Certified Public Accountant license., • FINRA licenses: Series 99, • Demonstrated understanding and experience in corporate finance, advanced accounting, and regulatory issues., • Experience working at a broker-dealer preferred., • FINOP experience preferred., • Hands-on experience with FINRA/SEC regulatory reporting, including preparation of FOCUS reports and Net Capital compliance., • Direct experience managing cash operations in a regulated environment., • Health Care Plan (Medical, Dental & Vision), • Retirement Plan (401k), • Paid Time Off (Vacation, Sick & Public Holidays), • Family Leave (Maternity, Paternity), • Short Term & Long Term Disability, • Life Insurance (Basic, Voluntary & AD&D) This description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. Odeon Capital Group provides a total compensation package which may include a base salary, discretionary performance bonus, and/or a comprehensive benefits package. The estimated base salary range for this position, at the time of posting, is $200,000 to $250,000, which is specific to New York and may change in the future. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package. Candidates hired to work in other locations will be subject to the pay range associated with that location. The final base salary amount that is offered to any candidate, in any location, will be determined on several factors, which may include but are not limited to location, work experience, skills, knowledge, education, and/or regulatory licenses. Odeon Capital Group is an Equal Opportunity Employer. We are committed to creating a work environment that supports, inspires, and respects all individuals and in which employment processes are merit-based and applied without discrimination. Odeon does not discriminate on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, membership in an employee organization, retaliation, parental status, military service, or any other protected characteristic or other non-merit factor.

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 Overview Our client is seeking a skilled Mid-Level Associate – Capital Markets to join its Corporate & Securities Practice Group in New York. This is an exciting opportunity to work on high-profile capital markets transactions, including IPOs, PIPEs, and public offerings, within a prestigious AmLaw law firm. The ideal candidate will have at least 2 years of experience handling public and private debt and equity offerings, Exchange Act reporting, and corporate governance matters. About the Firm Our client is a leading full-service law firm known for its broad-based securities practice and strong culture of collaboration and mentorship. With a commitment to professional development and meaningful client engagement, the firm offers a dynamic work environment where associates are empowered to grow and succeed. Why Join the Team? • Competitive Compensation – A salary package that reflects your experience and qualifications, • Comprehensive Benefits – Medical, dental, and vision coverage, alongside a 401(k) plan with profit sharing, • Professional Growth – Gain hands-on experience with capital markets transactions, securities law, and corporate governance, • Career Advancement – Work directly with issuers and underwriters on IPOs, private placements, PIPEs, and M&A transactions Key Responsibilities • Advise public and private companies on capital-raising transactions including debt and equity offerings, • Counsel clients on SEC and stock exchange compliance, corporate governance, and public company disclosure obligations, • Draft and negotiate securities offering documents, prospectuses, and corporate disclosures, • Assist with Exchange Act reporting requirements including 10-Ks, 10-Qs, 8-Ks, and proxy statements, • Represent issuers and underwriters in IPOs and follow-on public offerings, • Work on PIPEs, M&A transactions, and SEC reporting matters, • Ensure compliance with federal and state securities laws and stock exchange regulations Qualifications & Experience: • 2+ years of experience in capital markets, securities, and corporate governance, • Large law firm experience working on public and private securities transactions, • Strong knowledge of SEC regulations, Exchange Act reporting, and corporate governance matters, • Excellent drafting, negotiation, and analytical skills, • Ability to manage multiple complex transactions in a fast-paced environment, • Admission to the New York Bar (required) Take the Next Step If you are a detail-oriented and experienced Capital Markets Associate looking to take your career to the next level, we encourage you to apply today. Join a firm that values your experience and supports your professional growth.

Job DescriptionCapital Markets Associate Attorney – New York 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 Description Join a Team That Powers the Public Markets Now Hiring: Mid-Level Corporate Associate – Capital Markets & Public Companies Locations: Bay Area (Silicon Valley or SF), Seattle, Santa Monica, New York, or DC | #LI-HYBRID The Opportunity Are you a deal-savvy corporate attorney with a passion for taking companies public and navigating complex regulatory terrain? Our fast-growing Capital Markets & Public Companies team is looking for a sharp mid-level associate (3+ years) who’s ready to advise the next wave of market leaders in tech and life sciences. From IPOs to SPACs, SEC filings to shareholder meetings—you’ll work at the heart of the innovation economy, guiding clients through the challenges (and opportunities) of the public markets. What You’ll Be Working On: * Advising public companies on SEC compliance, disclosure, governance, and exchange requirements * Representing issuers or underwriters in capital markets transactions (IPOs, follow-ons, SPACs, direct listings, etc.) * Collaborating with founders, executives, and boards at some of the most cutting-edge tech and life sciences companies * Partnering with top-tier colleagues in a fast-paced, collaborative environment We're Looking For Someone Who Has: 3+ years of corporate law experience focused on public companies and/or investment banks A strong understanding of capital markets transactions & public company reporting requirements Experience advising on SEC and exchange compliance, disclosure obligations, and governance issues Stellar writing, communication, and interpersonal skills A JD from a top law school and admission to (or eligibility for) the bar in the office where you’ll work Bonus points if you’ve: * Worked closely with tech or life sciences companies * Navigated a client through the IPO process or worked on SPACs or follow-ons * Gotten excited reading a proxy statement (hey, we see you ) Compensation Range: Base salary: $255,000 – $395,000 * Discretionary bonus * Full suite of benefits (health, vision, dental, HSA/FSA, wellness, life insurance, and more)

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 C funding round brought our total investment to over $170 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 6 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: As the Chief Risk Officer, Broker Dealer Oversight for Alpaca Securities LLC, you'll partner with the COO, CCO, and the rest of the brokerage leadership team to develop and drive to completion processes for both oversight and quality control of all brokerage operations functions. You will implement risk monitoring and establish key risk indicators to facilitate ongoing monitoring of all business aspects. Another critical aspect of this role will be Issues Management. This will include setting up the framework to identify issues posing a risk to the firm. You will ensure that these issues are properly risk-rated and prioritized so that they can be addressed effectively. This means working closely with Product, Product Ops, and the Engineering teams. Progress on issues will be reported out to Alpaca leadership on at least a monthly basis. Alpaca Securities maintains a distributed, remote work environment. This role will report directly to the President of Alpaca Securities LLC. Things You Get To Do: • Developing, maintaining and adapting Key Risk Indicators (KRIs) as the business evolves and scales, • Performing independent reviews and stress testing, • Designing policies and control frameworks, • Assessing new products or business changes, • Providing 2nd line of defence challenge to front-office risk management, • Identify and manage risks to the organization, its employees, stakeholders, assets, and operations, and develop risk management strategies, objectives, and policies that establish the framework, tools, and procedures to achieve successful risk identification and management within best practice standards., • Be the primary owner for Risk and Control Self-Assessment (RCSA) and internal testing program., • Be the primary owner for due diligence related to onboarding and offboarding of correspondents/partner firms., • Research incidents and issues with the appropriate person(s) and document from identification to resolution., • On an ongoing basis, recommend and implement changes to firm policies and procedures as necessary., • Provide guidance and training to promote risk control awareness, ownership and accountability., • Monitor and analyze risks within the business units, including losses due to unsecured debits, and effectively provide reports to the Firm's Risk and Controls Committee., • Engage and develop effective working relationships to support cooperative responses to risk management matters and issues., • Bachelor's degree or Associate's degree in Law, Finance, Business or related discipline or the equivalent combination of experience and education., • 8+ years of experience with a regulator or at a broker-dealer in the financial services industry., • FINRA Series 7 and 24 (an ability to get Series 4 within 3 months from start date), • Working knowledge of investment products and services offered by a broker-dealer and the related SEC and FINRA rules and regulations., • Ability to keep issues appropriately confidential., • Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment., • Experience in implementing and maintaining policies and procedures., • Ability to work effectively and collaboratively across multiple teams in a remote work environment., • Self-starter with the ability to work independently under minimal supervision., • Must possess the ability to adapt to a changing business and regulatory environment., • Must be able to handle stressful situations while maintaining a calm and professional demeanour., • Enjoy challenges and take ownership of new responsibilities as required.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 DescriptionCompany Description IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings. Job Description This position will be at the forefront of driving growth and nurturing relationships with existing prospects. You’ll lead strategic initiatives, forge meaningful connections, and position IQEQ as a trusted partner in our clients' success stories. This role offers the perfect blend of leadership, strategy, and hands-on execution, ideal for a visionary who thrives in a fast-paced environment. What you’ll do • You'll cultivate relationships at the executive and operational levels with prospects, becoming an expert on their organizational structure and strategic goals; and develop a clear understanding of the political and business landscape of prospects to ensure optimal engagement, • You'll act as the primary point of contact for prospect relationships, continuously broadening engagement across C-suite and other key decision-makers, while ensuring alignment with the prospect’s strategic goals, offering tailored solutions and positioning IQEQ as integral to their business model, • You'll stay ahead of industry trends and competitors to adapt strategies that ensure long-term client retention and growth, and provide feedback to internal teams on product functionality and market trends to drive continuous innovation, • You'll lead the creation of a prospect-specific value proposition that differentiates IQEQ in a competitive marketplace, and collaborate with senior leadership and cross-functional teams to deliver bespoke solutions that meet client needs, and leverage IQEQ's global network to create a holistic and comprehensive strategy for client engagement, • You'll lead cross-functional teams in the preparation of proposals and presentations that showcase IQEQ's capabilities and expertise, • 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 ($150,000 - $200,000)Qualifications, • You have a Bachelor’s degree in business, finance, economics, applied mathematics, or a related field, • A proven track record (10+ years) of success in business development, client relationship management, or similar roles in financial services, private equity, or asset management, • Demonstrated ability to drive strategic initiatives and close high-value deals, with a deep understanding of competitive landscapes, • Exceptional leadership skills with the ability to influence and collaborate across all organizational levels, • Strong financial acumen, including experience with P&L management, budgeting, and financial modeling, • Excellent communication and presentation skills, with the ability to create compelling narratives and pitch complex solutions to clients, • Comfort working in fast-paced, data-driven environments, with a strong focus on results and innovation 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 JOB SUMMARY: CFSB is a leading fintech-focused bank committed to maintaining the highest standards of corporate governance and ethics. We are dedicated to ensuring the integrity and reliability of our supply chain and third-party relationships. To achieve this, we are seeking a highly motivated and detail-oriented individual to join our team as a Senior Associate, Financial Due Diligence Reviewer. As a Sr. Associate, Third-Party Financial Risk & Due Diligence, you will play a critical role in assessing the risk and compliance of our third parties by evaluating both their business operations and financial performance. This individual is responsible for assessing the Bank’s third-party relationships to ensure their financial position, risk mitigants, etc., align with the Bank’s overall Strategic Plan and the Bank’s Risk Appetite Statement. In addition, this individual will undertake various activities including performing financial accounting due diligence on the Bank’s fourth-party vendors and third-party relationships, analyzing historical financial results, forecasting, generating financial statements and sensitivity analysis models, making recommendations, preparing presentations, and reports for relevant committees. Responsibilities: • Conducting comprehensive financial due diligence reviews of the Bank’s existing or prospective third parties by identifying and evaluating financial risks through detailed analyses of financial statements and cash flows, benchmarking against industry standards, performing going concern assessments, and assessing third parties’ ability to repay annual debt service., • Analyze detailed financial statements information including income statement, balance sheet, cash flow statement, key performance indicators, and operational data., • Conduct in-depth financial analytics and synthesize information into actionable insights to facilitate discussions with the Bank Committee., • Evaluating key financial metrics and accurately assigning risk ratings in accordance with the Bank’s financial risk assessment methodology., • Manage collaboration with the Bank’s external stakeholders regarding any identified or escalated key financial issues, determining the need for more thorough investigation or additional information required., • Manage collaboration with the Bank’s Third-Party Governance & Oversight team to develop third-party remediation plans and evaluate the status of remediation efforts for compliance., • Collaborate with the Bank’s Third-Party Governance & Oversight team and manage ongoing monitoring of financial risks associated with third-party relationships. This includes timely identification of emerging financial risks to facilitate appropriate risk management, ensuring compliance to Third-Party agreements and minimizing potential financial losses., • Provide oversight into the financial positions of the Bank’s third-party relationships, including conducting annual reviews and preparing interim update memos for the Third-Party Oversight Committee, among other responsibilities., • Assist in preparing reporting data on the status of third-party due diligence reviews, identified conditions within third-party relationships and other relevant information to the Bank Committee. Knowledge, Skills, and Abilities: • Demonstrated expertise in financial statement analysis and identification of financial risks., • Working knowledge of US GAAP, audit opinions and SEC reporting requirements., • Strong understanding of accounting and financial processes., • Advanced accounting, finance, financial modeling, and analytical abilities., • Familiarity with financial services industry risks and regulations., • Familiarity interpreting financial auditors’ reports., • Ability to present complex analy, • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) or related software., • Capability to work independently and collaboratively in a team environment., • Excellent verbal and written communication skills., • Strong interpersonal skills., • Experience in the FinTech industry is a plus.Education, Training, and Experience:, • Bachelor’s Degree in Accounting, Finance, Economics, Business Administration, or related field., • Minimum of 4+ years of demonstrated experience in financial audit, accounting, finance due diligence or finance, • Relevant Finance certifications (i.e., FRM, CPA, etc.). Salary: $110,000 - $120,000 K / year "Base salary range does not include performance-based bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience." About Community Federal Savings Bank (CFSB) Community Federal Savings Bank (CFSB) is a federally chartered bank founded in 2001 and headquartered in New York City. CFSB has focused on providing superior service and added value to clients though a solid understanding of relationship banking. We offer a full range of services, including loans, bill payments, card services, internet banking, and merchant processing. We are an equal opportunity employer and do not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, disability, military and/or veteran status, or any other Federal or State legally-protected classes.

Job Description Be Part of a High-Performing Team This opportunity supports a global financial institution known for its disciplined risk culture and strong governance standards. The compliance and risk teams operate within a structured, collaborative environment focused on delivering high-quality regulatory reporting, strengthening enterprise controls, and maintaining operational integrity across asset management functions. The group is currently advancing several initiatives aimed at modernizing compliance oversight, enhancing control documentation, and increasing readiness for regulatory examinations. What’s In Store for You • Hybrid work model in a major financial center., • Exposure to high-visibility initiatives within compliance, risk, and asset management functions., • Translate existing compliance assessments and taxonomies into a formalized risk and control inventory tailored specifically to asset management operations., • Develop a structured compliance monitoring and testing plan aligned with corporate-level frameworks., • Identify gaps and inconsistencies between business-unit compliance procedures and enterprise standards., • Produce polished, exam-ready documentation that supports audits, internal reviews, and regulatory examinations. Required Skills & Experience • 10+ years in compliance, risk, audit, or regulatory roles within financial services., • Expertise in asset management regulatory frameworks (e.g., SEC, FINRA)., • Demonstrated ability to build or refine risk and control inventories., • Direct experience creating documentation for regulatory exams or audits., • Background in developing or supporting compliance monitoring/testing programs., • Strong analytical writing and organizational skills., • Certifications such as CAMS, CRCM, CIA, or CPA., • Experience in large, global, or highly regulated financial institutions., • Familiarity with enterprise-wide regulatory remediation programs.

Job DescriptionWe’re looking for Android Engineers to join our team. As part of a cross-functional scrum team you will design and develop new investment account and cash account functionality within our Android app. In addition to development on the app itself, you will write automated tests and integrate with our in-house design systems and our backend API. Come help us achieve our vision to make investing delightfully easy and understandable for our clients and prospective clients! As a core member of the team, you will: • Build a premier native Android application, • Collaborate with other engineers and designers to build new features and enhance existing features for our world-class app, • Work with frontend and backend engineers to design, build and test reusable REST APIs, • Design and build high-quality infrastructure; making the right tradeoffs for risk and long-term maintainability, • Collaborate with design and product to define a delightful Android experience using material design, • Get an opportunity to work with leadership to define the team's priorities and initiatives, • Work independently, use available resources to get unblocked, and complete tasks on schedule by exercising strong judgment and problem-solving skills, • Provide technical guidance and mentorship to peersThis role could be a fit if you have:, • 2 - 6 years of professional Android development experience, • Proficiency with Java or Kotlin, • Experience writing unit tests and testable code, • Knowledge of Android SDK performance tools and optimization techniques, • Excellent problem solving, critical thinking and communication skills, • You enjoy working in a fast-paced, cross-functional environment, • BS or MS in computer science, related field, or equivalent professional experienceOnce you join, Wealthfront will:, • Pair you with a mentor who will guide you through our structured onboarding program, • Encourage you to work on projects that match your professional goals, • Support your professional development by providing feedback during weekly 1:1s and our semi-annual reviews • A Cash Account that, through our partner banks, offers one of the highest annual percentage yields on uninvested cash in the industry, while providing instant and secure access to your money with no account fees and a full suite of checking features., • A zero-commission Stock Investing Account with 50+ handpicked collections that help DIY investors discover new companies and make smarter investing decisions. Please review our candidate privacy notice. Disclosures: All investing involves risk, including the possible loss of principal. Tax-Loss Harvesting benefits vary depending on the client's entire tax and investment profile. Wealthfront doesn’t provide tax advice. The Cash Account is offered by Wealthfront Brokerage LLC (“Wealthfront Brokerage”), Member of FINRA/SIPC. Wealthfront Brokerage is not a bank. We convey funds to partner banks who accept and maintain deposits, provide the variable interest rate, and provide access to FDIC pass-through insurance. Investment management and advisory services–which are not FDIC insured–are provided by Wealthfront Advisers LLC (“Wealthfront Advisers”), an SEC-registered investment adviser. The checking features offered in the Wealthfront Cash Account are provided by Green Dot Bank, Member FDIC. Fees and Eligibility requirements may apply to certain checking features, please see the Deposit Account Agreement for details. By “award-winning products”, please refer to for more information. Wealthfront Corporation oversees Total Client Assets and Trusted Clients through Wealthfront Advisers and Wealthfront Brokerage. Wealthfront Advisers and Wealthfront Brokerage are wholly owned subsidiaries of Wealthfront Corporation.

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 Staff Auditor to join our Internal Audit Department in New York. In this role, the auditor will participate in risk-based audits across the Firm’s business lines and support functions—including brokerage operations, trading, supervisory processes, investment advisory and asset management—to assess the effectiveness of internal controls, regulatory compliance, and operational efficiency. Working under the direction of Internal Audit leadership, the Staff Auditor will assist with audit planning, fieldwork, and reporting activities in accordance with professional auditing standards and regulatory expectations, and collaborate with business partners in a fast-paced environment. Responsibilities: • Conducts an internal audit under the general direction of the Head of Internal Audit or designee in compliance with audit standards, schedules and regulatory expectations, • Perform Sarbanes-Oxley, SSAE-18 and FINRA 3130 testing, • Develop an understanding of the function/department and how it relates to other areas of the firm, • Develop written deliverables, including a planning memo, risk and control matrix, testing procedures and a draft audit report, • Evaluate audit test results and discuss potential issues with the Head of Internal Audit, • Present audit findings and recommendations and discuss their implications with the auditee, • Prepare and maintain audit documentation in accordance with industry highest quality standards and internal approved guidelines, • Keep current with audit best practices, industry knowledge and regulations through continuing education Skills/Requirements: • Bachelor’s Degree in Accounting, Finance, Business or a related field, • Up to 4 years of Internal Audit experience; relevant industry experience preferred, • Excellent written and verbal communication skills, • Excellent analytical ability and problem solving skills, • A high degree of initiative, inquisitiveness, enthusiasm and attention to detail, • Eager to stay ahead of industry trends and best practices, • Strong understanding of internal control concepts, audit principles, and risk assessment, • Familiarity with securities industry operations, FINRA/SEC regulatory environment, and broker-dealer supervisory processes is a plus, • Proficiency with Microsoft Office (Excel, Word, PowerPoint, Visio); experience with data analysis tools (e.g., IDEA, Tableau) is a plus, • CIA, CPA, or CFE certifications or progress toward certification is preferred, but not required Compensation: For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of 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 $95,000.00 - $120,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Job DescriptionSalary: Waystone leads the way in specialist services for the asset management industry. Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide. With over 20 years experience and a comprehensive range of specialist services to its name, Waystone is now serving assets under management in excess of $2Tn. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence. Associate Directors are a clients key contact throughout their compliance process. Associate Directors need strong interpersonal skills and the ability to develop excellent client relationships through interactions with both junior and executive level client personnel. These individuals must show an aptitude for understanding the financial markets, investment strategies and the business climate in which our clients operate. Associate Directors must demonstrate strong organizational skills and work effectively as members of a team. This position requires a particularly strong interest in working on a team and achieving team goals as opposed to individual goals. These individuals must be able to advance projects with minimal guidance or direction. Our environment is entrepreneurial and constantly changing. Our employees all possess a strong entrepreneurial mindset, they are problem solvers, with strong work ethics who are determined to create a world class business one day at a time. ESSENTIAL DUTIES AND RESPONSIBILITIES • Draft SEC and CFTC filings and compliance manuals, • Maintain Code of Ethics programs for clients, • Conduct regular reviews of client compliance programs, • Manage all client deliverables and adhoc requests, • Assist in SEC examinations and draft basic responses, • Assist and complete ERA, RIA and BD registrations, • Draft FINRA filings and provide filings guidance to clients, • Assist with FINRA inquiries by providing thoughtful responses, • Prepare regulatory filings such as Form ADV, Section 13 Filings, Form PF, Form PQR, among others REQUIREMENTS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education: A degree in Business Administration, Finance, Accounting, Political Science, or equivalent Experience: • 3-5 years experience working in financial services as a fund or broker dealer accountant or legal or compliance professional OR, • Recent law grad with financial services or fintech experience or business undergraduate degree, • Business undergraduate degrees preferred but not required, • JD, CPA or CFA preferred but not required, • Attorneys must have business undergraduate degrees or financial services experience to qualify., • Experience or technical understanding of trading strategies and the financial markets is highly desirable, • Some travel (5-25%) during peak periods is required. In return • A compensation package that includes a base salary between $120,000 - $150,000, • 401(k) match, • 25 days Holiday, • Health Insurance (EE and family), • Discretionary yearly bonus

Job DescriptionThis Jobot Job is hosted by: Colleen Gormley Are you a fit? Easy Apply now by clicking the "Apply Now" buttonand sending us your resume. Salary: $145,000 - $245,000 per year A bit about us: Our client is seeking seeking a Junior to Mid-Level Corporate Associate with 1-5 years of experience in the field of securities and corporate law. This is an excellent opportunity for skilled candidates looking to work in a nationally recognized securities practice located in midtown NYC. Why join us? Competitive compensation package Hybrid Work Schedule Complete benefits package (medical, dental, vision) PTO + Company paid holidays Accelerated Career Growth Job Details • Knowledge with registered securities offerings, PIPEs, SEC regulations, ’33 Act Registration Statements, and ’34 Act periodic filings, mergers & acquisitions, general corporate law and SEC research, • A minimum of 1 year of experience with regulatory requirements and compliance issues, • Self-motivated and proactive approach to managing client relationships: must be invested in our clients and deeply committed to obtaining the best possible outcome for them, • Excellent interpersonal communication skills and exemplary attention to detail, • 1+ years of substantive legal experience working for high-growth, early-stage businesses and active investors in connection with incorporations, equity financings, securities, mergers and acquisitions, and general corporate counseling Interested in hearing more? Easy Apply now by clicking the "Apply Now" button. Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, age (40 and over), disability, military status, genetic information or any other basis protected by applicable federal, state, or local laws. Jobot also prohibits harassment of applicants or employees based on any of these protected categories. It is Jobot’s policy to comply with all applicable federal, state and local laws respecting consideration of unemployment status in making hiring decisions. Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative for Hiring and the San Francisco Fair Chance Ordinance. Information collected and processed as part of your Jobot candidate profile, and any job applications, resumes, or other information you choose to submit is subject to Jobot's Privacy Policy, as well as the Jobot California Worker Privacy Notice and Jobot Notice Regarding Automated Employment Decision Tools which are available at jobot.com/legal. By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from Jobot, and/or its agents and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy here: jobot.com/privacy-policyCompany DescriptionJobot is on a mission to connect good people with good jobs. By combining AI-powered technology with the expertise of Jobot Pros, our experienced recruiters, we help you find career opportunities that align with your goals and values. Founded in 2018 and employee-owned since 2024, Jobot is committed to fostering a culture of kindness, respect, innovation, and connection. As an industry leader, we’ve been recognized as a top workplace by Forbes, Fortune, USA Today, and Staffing Industry Analysts (SIA). Ready to find a good job? Create your profile today at Jobot.com.Jobot is on a mission to connect good people with good jobs. By combining AI-powered technology with the expertise of Jobot Pros, our experienced recruiters, we help you find career opportunities that align with your goals and values.\r\n\r\nFounded in 2018 and employee-owned since 2024, Jobot is committed to fostering a culture of kindness, respect, innovation, and connection. As an industry leader, we’ve been recognized as a top workplace by Forbes, Fortune, USA Today, and Staffing Industry Analysts (SIA).\r\n\r\nReady to find a good job? Create your profile today at Jobot.com.

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. About our role: We are looking for a highly motivated and outgoing Financial Customer Experience Associate to support moomoo's in-person activations in our NYC Brand Store. In this role, you will be driving sales, building customer relationships, and handling live customer support. This role combines financial expertise, client relationship management, and event leadership to deliver an exceptional in-person customer experience. You will drive client acquisition, support store activations, and ensure compliance with FINRA and SEC regulations. This is a hands-on position perfect for someone who thrives in high-energy environments, excels at client engagement, and has a deep passion for finance and the U.S. stock market. Requirements Key Responsibilities: • Financial Expertise - Learn and maintain a deep understanding of moomoo's history, mission, product features, trading tools, and customer promotions to effectively communicate value to clients, • Sales & Promotions Management - Support the on-site sales and promotion efforts, • Client Support - Provide exceptional client support by answering incoming questions about moomoo products and services, • Sales & Inventory Tracking - Track and report merchandise inventory, sales, and customer conversion data each day, • Financial Market Awareness - Stay current on market news, trends, and economic events, and effectively communicate relevant insights to customers, • Compliance - Ensure all marketing and sales activities comply with FINRA and SEC guidelines Qualifications: • Must have or be willing to get SIE upon being hired. FINRA Series 7 and 63 licenses required for the position: preferred upon hiring but must be obtained within 180 days of hire., • Must have knowledge of options and trading strategies, • 1+ years of experience in sales and/or customer service within a financial services company, • Strong personal trading experience (preferred), • In-depth knowledge of FINRA and SEC marketing guidelines, • Deep understanding of trading products, services, and the U.S. stock market, • Excellent leadership, communication, and customer engagement skills What We Offer: • Competitive salary and performance-based bonuses., • Comprehensive benefits package, including health, dental, and retirement plans., • Opportunities for professional growth and development., • A dynamic and collaborative work environment. 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 $50,000-$70,000. 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.

Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. Act as a trusted technical and security advisor, engaging customer sec

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. About our role: We are looking for a highly motivated and licensed Financial Customer Experience Associate to lead moomoo’s in-person activations in our NYC Brand Store. In this role, you will be driving sales, building customer relationships, and handling live customer support. This role combines financial expertise, client relationship management, and event leadership to deliver an exceptional in-person customer experience. You will oversee store operations, drive client acquisition, provide licensed investment guidance, and ensure compliance with FINRA and SEC regulations.This is a hands-on position perfect for someone who thrives in high-energy environments, excels at client engagement, and has a deep passion for finance and the U.S. stock market. Requirements Key Responsibilities: • Financial Expertise - Learn and maintain a deep understanding of moomoo's history, mission, product features, trading tools, and customer promotions to effectively communicate value to clients, • Client Onboarding -Assist customers with account openings, deposits, and account modifications on-site, • Sales & Promotions Management -Manage and plan sales promotions and marketing campaigns for the Brand Store, • Client Support - Provide exceptional client support by answering incoming questions about moomoo products and services, • Sales & Inventory Tracking - Track and report merchandise inventory, sales, and customer conversion data at each event, • Cross-Functional Collaboration - Collaborate with cross-functional teams to support/create promotional campaigns, marketing initiatives, and sales efforts, • Financial Market Awareness - Stay current on market news, trends, and economic events, and effectively communicate relevant insights to customers, • Store Operations Management - Oversee day-to-day Brand Store sales and operational workflows, • Compliance - Ensure all marketing and sales activities comply with FINRA and SEC guidelines Qualifications: • Must currently have Series 7, and ability to obtain Series 63 license within the first 90 days of employment., • 3+ years of experience in sales and/or customer service within a financial services company., • Strong personal trading experience (preferred)., • In-depth knowledge of FINRA and SEC marketing guidelines., • Deep understanding of trading products, services, and the U.S. stock market., • Excellent leadership, communication, and customer engagement skills. What We Offer: • Competitive salary and performance-based bonuses., • Comprehensive benefits package, including health, dental, and retirement plans., • Opportunities for professional growth and development., • A dynamic and collaborative work environment. 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 $55,000-$100,000. 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 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. Premier Client Service Specialist Office Location: Jersey City, NJ About the Team & Role: Moomoo Financial seeks a polished Premier Client Service Specialist to deliver exceptional, dedicated support to our high-net-worth (HNW) and premier clients. This role is central to providing white-glove service for account onboarding, asset transfers, and ongoing relationship management, with a focus on understanding client needs, addressing concerns, and executing retention strategies for at-risk clients. The ideal candidate is a proactive and consultative professional with deep platform expertise, dedicated to building long-term trust with our most valuable clients and ensuring a superior service experience at every touchpoint. What You'll Do: 1. Premier Client Service & Relationship Management (Primary Focus) • Act as the primary dedicated liaison for VIP clients, managing complex inquiries related to equities, options, margin, and account management., • Lead and oversee the seamless end-to-end process for premier client onboarding, account funding, and stock transfers, including handling corporate accounts., • Proactively monitor client relationships, identify potential needs, and provide dedicated support to enhance client satisfaction and loyalty., • Serve as the key point of contact for premier clients, providing timely and accurate responses via email, phone, and other channels. 2. Client Retention & Strategic Support • Proactively identify at-risk clients expressing dissatisfaction or intending to withdraw significant assets., • Lead retention efforts by initiating direct contact, understanding the root cause of issues, and presenting tailored solutions to preserve the relationship., • Develop and implement strategies to enhance client satisfaction and improve overall service delivery for the premier segment., • Analyze client feedback and pain points to advocate for platform or service improvements that benefit the HNW client experience. 3. Collaborative Marketing Support (Limited Scope) • Provide tailored service support to HNW clients referred through Marketing team initiatives, focusing on post-engagement follow-up for onboarding and relationship building., • May offer limited, supplementary support at select Marketing events for HNW clients, focusing solely on addressing general service, platform, or procedural questions in a one-on-one capacity., • Partner with Marketing by sharing high-level, anonymized insights on premier client needs and feedback to help inform client engagement strategies. Requirements What You Bring: • FINRA Series 7 & 63 licensed., • 3+ years in financial services with demonstrated success in premium client support (e.g., wealth management, private client services, or similar)., • Exceptional communication and relationship-building skills, with a proven ability to manage high-touch client relationships. Act as the key relationship associate for MFI premier clients by providing timely and accurate responses to inquiries via email, phone, and other communication channels., • Strong platform expertise and working knowledge of brokerage operations, trading products, and complex account procedures., • Proven experience in handling and serving corporate accounts., • Proactive problem-solver with a demonstrated ability to identify client needs, de-escalate concerns, and present effective solutions., • Collaborative mindset with the ability to work effectively across Service, Marketing, and Compliance teams. Preferred Qualifications: • Experience in developing and implementing client retention strategies., • Background in compliance or a strong understanding of regulatory frameworks governing client communications. What We Offer: • 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 $80,000 - $110,000. 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.

An AdTech company seeks a Manager of Technical Accounting and SEC Reporting to join their team in NYC.

TSA Financial LLC (TSAF), a U.S. broker-dealer affiliate of Toss Securities, recognized as one of the fastest growing brokerages in Korea and a leading firm in overseas stock commission revenue, has recently opened its New York office as part of Toss’s global expansion. Toss is widely regarded as one of Korea’s most innovative fintech brands, and TSAF is actively building its U.S. trading operations under FINRA regulation. We are seeking experienced IT Manager to join our growing team. This role offers an exciting opportunity to contribute to the expansion of a dynamic brokerage firm while advancing your career in the U.S. financial markets. Key Responsibilities • Manage and operate company wide IT infrastructure including email systems, PCs, servers, networks, and VDI, • Implement and maintain firewall policies, VPNs, and wireless network environments, • Evaluate and introduce IT solutions and tools that improve reliability, security, and business productivity, • Ensuring all systems used for communication, storage, and backup meet SEC and FINRA requirements, • Provide day to day IT support for employees, troubleshooting issues with devices (PCs, monitors, printers, etc.) and software, • Manage IT hardware and software assets, licenses, and procurement, • Deliver smooth IT setup for new hires and offboarding processes for departing employees, • Manage user accounts and permissions across SaaS platforms (Google Workspace, Office 365, Slack, JIRA, etc.), • Establish and enforce IT security policies and procedures to ensure secure access and compliance, • Monitor risks and proactively mitigate vulnerabilities in systems and networks, • Manage relationships with IT vendors and external service providers, • Lead IT related projects including infrastructure upgrades, SaaS rollouts, and process automation, • Collaborate with compliance department during regulatory audits or cybersecurity examinations Qualifications • 5–7 years of IT operations experience across infrastructure and end-user support, • Proficiency with Windows and Mac environments, server and network management, • Experience in a FINRA-regulated or other financial institution a plus., • Experience with SaaS platforms (Google Workspace, Office 365, Slack, Jira, etc.), • Hands-on expertise in firewall, VPN, and wireless network setup and administration, • Strong troubleshooting and problem-solving skills, • Excellent communication and interpersonal abilities; capable of supporting employees at all levels, • Bachelor’s degree in computer science, Information Technology, or related field, • Relevant IT certifications (e.g., CompTIA Network+, Microsoft Certified: Azure Administrator, CCNA) preferred, • Proficiency in the Korean language preferred Equal Opportunity Employer TSA Financial is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or veteran status.

Job Title: Fast API Solution Lead/Architect Location: New York City, NY Duration: 6-12 Months Experience: 12+ years of solutioning, design & development if cloud-native web applications using React, Vite, FastAPI, and Python Technical skills: • Strong proficiency in Python and the FastAPI web framework., • Proven experience designing cloud-native web applications (preferably on AWS, Azure, or GCP)., • Expertise in data engineering tools such as Apache Airflow, Spark, SQL, and cloud data warehouses (e.g., Snowflake, BigQuery)., • Experience implementing systems compliant with SEC regulations or other financial services compliance frameworks., • Deep understanding of RESTful APIs, microservices, CI/CD, containerization (Docker/Kubernetes), and version control (Git)., • Strong knowledge of security best practices, especially in handling PII and financial data. Solution Architecture: • Design end-to-end web application and data platform architectures tailored to meet business and regulatory requirements., • Make architectural decisions on API design, service orchestration, data flow, and performance optimization., • Ensure system designs are scalable, secure, and maintainable. Technical Leadership: • Act as the primary technical liaison for business stakeholders and clients., • Translate business requirements into scalable technical solutions., • Lead and mentor a team of developers and data engineers., • Provide technical direction and decision-making, • Ensure adherence to coding standards, code reviews, and DevOps practices. Web Development & API Engineering: • Design and implement high-performance, secure APIs using Python and FastAPI., • Drive the implementation of microservices-based architectures., • Optimize backend systems for speed, efficiency, and scalability. Data Engineering: • Architect and implement robust ETL pipelines, data lakes, and warehouse systems., • Ensure secure and efficient handling of sensitive financial data., • Integrate third-party data sources and real-time data feeds into the application stack. Compliance & Security: • Design and implement solutions that comply with SEC regulations and data protection standards (e.g., SOX, GDPR, FINRA, etc.)., • Collaborate with legal and compliance teams to maintain secure data governance protocols., • Participate in audits, reviews, and documentation processes to ensure traceability and regulatory alignment. Preferred Skills • Familiarity with financial industry standards like FIX, XBRL, or EDGAR filings., • Knowledge of additional Python frameworks (e.g., Django, Flask)., • Experience with infrastructure-as-code tools (Terraform, CloudFormation)., • Prior experience in regulated environments such as fintech, banking, or trading platforms.

Akkodis is seeking a Cybersecurity Operations Specialist role is a Direct hire with a client located in NYC 10022 (Hybrid). Ideally looking for applicants to have a solid background in Security operations, SOC, Financial services, FINRA, SEC would come as a big plus. Salary Range: $130k-$140k/Annum + Benefits, The salary may be negotiable based on experience, education, geographic location, and other factors. We are seeking a Cybersecurity Operations Specialist to join our security operations team and play a hands-on role in monitoring, protecting, and improving the firm’s cybersecurity posture. This position focuses on day-to-day security operations, vulnerability management, and incident response across our on-premise and cloud environments (AWS and Microsoft 365). The ideal candidate has strong technical knowledge of endpoint protection, identity management, and network security, combined with an analytical mindset and attention to detail suitable for a regulated financial environment. Key Responsibilities: Security Operations & Monitoring • Monitor and investigate alerts from CrowdStrike Falcon XDR, Microsoft Defender, and Intune., • Conduct triage and escalation of suspicious activities in coordination with infrastructure and IT teams., • Maintain visibility and reporting through Tenable Security Center and Nessus vulnerability scans., • Perform routine vulnerability assessments and track remediation status., • Collaborate with system administrators to ensure timely patching of Windows, Linux, and network devices., • Administer and monitor Symantec Endpoint Protection Manager (EPM) and Microsoft Intune policies., • Enforce endpoint encryption (Corporate Laptop), application control, and posture management., • Manage Microsoft Entra (Azure AD) identity policies, MFA enforcement, and conditional access rules., • Support network segmentation, VPN access, and firewall change reviews on Juniper platforms., • Monitor ZScaler logs for anomalous web traffic or policy violations., • Administer and report on employee phishing and training campaigns via KnowBe4., • Support audit requests (FINRA, SEC, SOC1/2) by preparing evidence and log samples., • Participate in incident containment, investigation, and remediation., • Collect forensic artifacts (logs, screenshots, binaries) as directed by the CISO. Required • Bachelor’s degree in Information Security, Computer Science, or related field (or equivalent experience)., • 3–5 years of experience in security operations, SOC, or IT security support., • Working knowledge of EDR/XDR platforms (CrowdStrike, Defender), vulnerability scanners (Nessus), and firewall/IDS systems., • Understanding of Windows/Linux administration, TCP/IP networking, and cloud identity management., • Experience with regulated financial institutions (FINRA, SEC, NFA, CFTC)., • Certifications such as CompTIA Security+, CySA+, Microsoft Certified: Security Operations Analyst, or GIAC GSEC., • Familiarity with scripting or automation (PowerShell, Python) for security tasks. If you are interested in this role, then please click APPLY NOW. For other opportunities available at Akkodis, or any questions, feel free to contact me at . Equal Opportunity Employer/Veterans/Disabled Benefits offerings include but are not limited to: • 401(k) with match, • Medical insurance, • Dental Insurance, • Vision assistance, • Paid Holidays Off To read our Candidate Privacy Information Statement, which explains how we will use your information, please visit ___. The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable: · The California Fair Chance Act · Los Angeles City Fair Chance Ordinance · Los Angeles County Fair Chance Ordinance for Employers · San Francisco Fair Chance Ordinance

A financial firm is looking for a Chief Information Security Officer (CISO) to join their team in New York, NY. Compensation: $150-200K Responsibilities: • Define and maintain the enterprise information security strategy, roadmap, and governance framework, aligned with business objectives and regulatory requirements, • Draft, maintain, and periodically review security-related policies and procedures, • Establish and chair/co-chair an Information Security / Cyber Risk Committee and contribute to Board-level reporting on cyber risk, • Develop and maintain the firm's information security governance framework, • Lead the firm's SOC 1 (Type 1/Type 2) and SOC 2 (Type 1/Type 2) readiness and ongoing attestation efforts, • Own the control catalog, control testing coordination, evidence collection, and remediation tracking across technology, operations, and third parties, • Act as primary security point of contact for external auditors, assessment firms, and key institutional partners, • Ensure security program alignment with SEC Regulation S-P, Reg S-ID, Reg SCI, SEC / Client cybersecurity expectations, and NYDFS 23 NYCRR 500, • Partner with Compliance and Legal to interpret new regulations, assess impact, and implement necessary control and policy changes, • Maintain and periodically test the Incident Response Plan, Business Continuity and Disaster Recovery (BC/DR) from a security perspective, • Provide security oversight for cloud (AWS) and on-prem infrastructure, including network security, endpoint security, identity and access management (IAM), and data protection, • Work with Infrastructure/DevOps and application teams to embed secure SDLC practices, including code review, security testing, and secure deployment pipelines, • Oversee vulnerability management, including patch management processes, penetration testing, and remediation programs, • Define and oversee Security Operations Center (SOC) / XDR usage, log management, SIEM, threat detection, and incident handling, • Design and enforce data classification, data loss prevention (DLP), encryption, and key management controls, • Partner with business and product teams to ensure client data privacy and secure data flows, including with third-party vendors and partners, • Own the vendor security risk management program, including security due diligence, contract security clauses, and ongoing monitoring, • Evaluate and manage key security vendors, • Build and lead a small but high-impact security team, scaling capabilities over time, • Promote a security-first culture through training, awareness programs, and regular communication with staff at all levels Qualifications: Required • Bachelor's degree in Computer Science, Information Security, Engineering, or related field; or equivalent experience, • 7+ years of progressive experience in information security, including at least 3 years in a leadership role (Head of Security, Deputy CISO, CISO, or equivalent), • Hands-on experience leading SOC 1 and/or SOC 2 attestation projects at a financial institution, fintech, or SaaS provider, • Strong background in financial services or capital markets (broker-dealer, clearing firm, trading platform, or similar), • Understanding of Information security frameworks (e.g., NIST CSF, NIST 800-53, ISO 27001), • Understanding of Regulatory landscape for U.S. financial firms (e.g., SEC, Client, possibly NYDFS 500), • Experience with Identity & access management, network security, endpoint security, and cloud security (preferably AWS), • Experience building and maintaining incident response, BC/DR, and vulnerability/patch management programs, • Experience as CISO, Deputy CISO, or security leader at a broker-dealer, clearing firm, exchange/ATS, or large fintech, • Professional certifications such as CISSP, CISM, CISA, CRISC, CCSP or similar, • Experience with AWS security services, • Familiarity with DevSecOps practices and secure CI/CD pipelines, • Experience managing data localization and cross-border data separation initiatives

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