Financial Services Compliance

Direct Counsel is seeking a mid-level to senior Financial Services Compliance/Regulatory Attorney to join a top law firm in their Financial Services Compliance team. We are seeking a dynamic individual with a minimum of four years' experience in compliance and regulatory matters related to the financial services industry. This position can be based...

Webull Financial LLC is a FINRA registered broker dealer, we provide online investing platform for retail investors, products include global market data, news and trading in US equities and listed options. We are looking for a talented financial compliance professional in the New York area to be part of our Compliance team. Responsibilities: Demonstrate an...

Job DescriptionJob DescriptionThe Opportunity:Fifth Avenue Financial is looking for a Financial Services Representative to join our team. Compensation is 100% commission, earnings are directly related to performance. Our office is located in New York, NY and candidates are expected to come into the office on hybrid basis.Job Responsibilities:Build a...

Summary: Financial Plan ning firm located in Kalamazoo Michigan seeks a highly energized and confident client service associate who will thrive in a busy environment. This position is critical to providing superior client experience. This position utilizes excellent customer service, attention to detail, and time management skills. Essential Duties And...

Job Description   The Manager of Financial Reporting & Compliance is a critical position within our Finance Organization. The expectations for the role are to demonstrate strong and effective leadership over the financial reporting team and provide technical accounting guidance and insight to executive management, including but not limited to, the...

**Financial Professional** **Full Time or Part Time; Remote (Work From Home)** **Our Agency is expanding to ALL 50 states** **Calling all Ambitious Financial Enthusiasts!** Are you a go-getter with a passion for finance and an eagerness to embark on an exciting career journey? Look no further, because we have an opportunity that will leave you on the...

COMPLIANCE ANALYSTNew York, NYOur client, a NYC-based trading firm is looking for a Compliance Analyst.The team is charged with establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations.In this position, tasks will primarily include surveillance and monitoring of...

The New York State Department of Financial Services seeks to build an equitable, transparent, and resilient financial system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its employees are responsible for empowering consumers and protecting them from...

A New York City-based nonprofit organization is currently seeking an experienced professional to join their staff as their new Project Financial Services Manager. Serving as the primary financial business partner for the policy areas, the Project Financial Services Manager will be responsible for focusing on a range of financial management and organizational...

Associate Financial Advisor Company Mission We build relationships before we ever build portfolios. We are committed to every client receiving one to one financial advise, personalized recommendations, regular meetings and anytime access. Understanding clients needs and goals for today and the long-term are unique. As an advisor, you begin with listening to...

Associate Financial Advisor Company MissionWe build relationships before we ever build portfolios. We are committed to every client receiving one to one financial advise, personalized recommendations, regular meetings and anytime access.Understanding client’s needs and goals for today and the long-term are unique. As an advisor, you begin with listening...

Associate Financial Advisor Company MissionWe build relationships before we ever build portfolios. We are committed to every client receiving one to one financial advise, personalized recommendations, regular meetings and anytime access.Understanding client’s needs and goals for today and the long-term are unique. As an advisor, you begin with listening...

Associate Financial Advisor Company MissionWe build relationships before we ever build portfolios. We are committed to every client receiving one to one financial advise, personalized recommendations, regular meetings and anytime access.Understanding client’s needs and goals for today and the long-term are unique. As an advisor, you begin with listening...

We're seeking passionate and experienced Cannabis Finance Consultants to collaborate with multiple clients across the US. This is an exciting opportunity to contribute your expertise to various cultivation projects and help shape the success of our industry in the rapidly evolving cannabis market.Responsibilities:Partner with cannabis clients nationwide to...

The ideal candidate would be a team player who possesses excellent interpersonal skills and communication abilities, with a high degree of self-confidence.Would have client facing experience with a goal of either entering into a turnkey team operation for business collaboration, or possibly entertaining an exit strategy around succession planning. They...

The ideal candidate would be a team player who possesses excellent interpersonal skills and communication abilities, with a high degree of self-confidence.Would have client facing experience with a goal of either entering into a turnkey team operation for business collaboration, or possibly entertaining an exit strategy around succession planning. They...

Company Description New Start Capital is a financial services and advisory firm located in New York, NY. We specialize in helping customers with lower to moderate credit scores obtain loans, consolidate debts, and reduce creditor payments through lower interest rate solutions. Our experienced and trusted loan advisors tailor solutions to individual...

About the company: Financial IT Analyst CFS is working with a prominent, non-profit agency who is looking for someone to join their fiscal team and support their financial systems in their Manhattan office (hybrid) Looking for someone to contribute to the efficiency and effectiveness of their financial processes and solutions by providing day-to-day...

Responsibilities: • Lead the enhancement of the Financial Crimes Compliance procedures and operating manuals to align with the Global Financial Crimes Division Standards. • Execute the Anti-Bribery and Corruption (ABC) controls including the review of Gift and Hospitality Requests, Donation request, and perform semi-annual QA. • Calculate and report...

Responsibilities: • Lead the enhancement of the Financial Crimes Compliance procedures and operating manuals to align with the Global Financial Crimes Division Standards. • Execute the Anti-Bribery and Corruption (ABC) controls including the review of Gift and Hospitality Requests, Donation request, and perform semi-annual QA. • Calculate and report...