Compliance Officer Broker Dealer

12 hours ago


Remote, Oregon, United States Xnergy Financial Full time $40,000 - $60,000 per year

Job Overview

We are a FINRA member institutional only M&A broker dealer seeking a detail-oriented and knowledgeable part-time contract Compliance Officer to join our team. The ideal candidate will play a critical role in ensuring that our organization adheres to all SEC and FINRA regulatory requirements and internal policies. This position involves monitoring compliance with FINRA and implementing effective compliance management strategies. The Compliance Officer will collaborate with our investment banking team to promote a culture of compliance.

Skills

  • Strong understanding of FINRA regulatory rules.
  • Proficiency in compliance management frameworks.
  • Ability to interpret regulations and translate them into actionable policies.
  • Experience minimum 5 years working as a Compliance Officer.

Job Type: Contract

Pay: $ $50.00 per hour

Expected hours: 10 – 30 per week

License/Certification:

  • Series 24 (Required)

Work Location: Remote



  • Remote, Oregon, United States Evernest Full time $40,000 - $60,000 per year

    Contract Compliance Broker 1099 Independent Contractor at Evernest COMPANY OVERVIEW Evernest is a full-service real estate and property management company with a national presence and an outstanding reputation. We operate in 50+ of the nation's most investable markets and manage over 24,000 homes. We are a high-performing team, and our culture is second...


  • Remote, Oregon, United States TERMINAL INVESTMENT CORPORATION (TICO) Full time $60,000 - $120,000 per year

    Job TitleDealer Operations ManagerEmployment Status:Full-TimeFLSA Status:ExemptDepartment:SalesLocation:RemoteJob SummaryTICO is currently seeking a skilled and results-driven Dealer Operations Manager to join our team and drive growth by focusing on the development of the TICO Dealer Network. As the Dealer Operations Manager, you will be responsible for the...


  • Remote, Oregon, United States ADT Full time $31,000 - $65,000 per year

    Position Overview:A Tier 2 Dealer Operations coordinator serves as the primary contact for our dealers in support of daily operational functions. This role is accountable for telephone, email and occasionally in-person transactions between ADT and independent Authorized Dealers. As well as interactions with our customers related to the Quality Assurance...


  • Remote, Oregon, United States TriNet Full time $122,200 - $322,000 per year

    TriNet is a leading provider of comprehensive human resources solutions for small to midsize businesses (SMBs). We enhance business productivity by enabling our clients to outsource their HR function to one strategic partner and allowing them to focus on operating and growing their core businesses. Our full-service HR solutions include features such as...


  • Remote, Oregon, United States Rippling Full time $15,000 - $200,000 per year

    About RipplingRippling gives businesses one place to run HR, IT, and Finance. It brings together all of the workforce systems that are normally scattered across a company, like payroll, expenses, benefits, and computers. For the first time ever, you can manage and automate every part of the employee lifecycle in a single system.Take onboarding, for example....


  • Remote, Oregon, United States Rippling Full time $80,000 - $120,000 per year

    About RipplingRippling gives businesses one place to run HR, IT, and Finance. It brings together all of the workforce systems that are normally scattered across a company, like payroll, expenses, benefits, and computers. For the first time ever, you can manage and automate every part of the employee lifecycle in a single system.Take onboarding, for example....

  • Loan Officer

    4 days ago


    Remote, Oregon, United States ProLenders LLC Full time $100,000 - $250,000 per year

    OverviewWe are seeking a motivated and detail-oriented Loan Officer to join our dynamic financial services team. The ideal candidate will be responsible for guiding clients through the loan application process, assessing their financial needs, and providing tailored loan solutions. This role requires a strong understanding of mortgage products, excellent...


  • Remote, Oregon, United States Khoshbin Capital Full time $100,000 - $1,500,000 per year

    Role Overview:Khoshbin Capital is expanding its Syndication Network — a select group of licensed, well-connected capital formation professionals who partner with us to syndicate active private placements.We handle all deal sourcing, structuring, and material preparation. You focus on what you do best — leveraging your investor relationships to help...


  • Remote, Oregon, United States Sonny Express Full time $25,000 - $300,000 per year

    Job SummaryPLEASE NOTE: This is a contractor, commission based job only. The commission split is 70% for any agent working with Sonny Express. We are seeking an energetic and detail-oriented Freight Broker to join our dynamic logistics team. In this pivotal role, you will serve as the vital link between shippers and carriers, coordinating freight movements...

  • Loan Officer

    4 days ago


    Remote, Oregon, United States 7E Investments Full time $50,000 - $175,000 per year

    Account Executive / Loan Officer – Private LendingDate Posted: February 4, 2025Pay: Contract Position - $2,000 – $5,000 per month base salary + commission (On Target Earnings: $50,000 – $175,000+ per year)Location: RemoteEmployment Type: ContractAbout 7e Investments7e Investments is a mortgage note investment fund specializing in acquiring and...