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8 fresh jobs found
Regulatory Compliance Financial Services Counsel
US - US - New York; US - US - Remote Axiom logo Axiom
Alternative trading systems Swap dealer compliance Insurance Compliance SEC Trading platforms FINRA CFTC Compliance programs Advising +12
Senior Full Time
USD 170K+
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Compliance Manager
CT-Work@Home, Connecticut, United States Voya Financial logo Voya Financial  Remote-first
Testing Programs SEC Training Coordination FINRA Operational Oversight Securities Policy interpretation Conflict Management AML +23
Mid Full Time
USD 103K+
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Senior Manager - Regulatory Compliance (Private Funds)
Nashville, TN, United States IQ-EQ logo IQ-EQ
Investment Advisers FINRA Requirements NFA Requirements Advisers Act CFTC Regulations NFA CFTC Securities Act FINRA +8
Senior Full Time
USD 90K+
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Senior Manager - Regulatory Compliance (Private Funds)
Denver, CO, United States IQ-EQ logo IQ-EQ
IA Act of 1940 Advisers Act ICA of 1940 Investment Advisers FINRA Requirements Mock Exams CFTC Regulations CFTC NFA +12
Senior Full Time
USD 90K+
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Senior Manager - Regulatory Compliance (Private Funds)
Seattle, WA, United States IQ-EQ logo IQ-EQ
FINRA Requirements ICA of 1940 IA Act of 1940 Mock Exams Advisers Act Client Advising CFTC Securities Act NFA +10
Senior Full Time
USD 90K+
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Manager - Regulatory Compliance (Private Funds)
San Diego, CA, United States IQ-EQ logo IQ-EQ
Securities Act NFA CFTC Investment Advisers Act FINRA SEC Regulations Office Software Compliance programs Financial controls +10
Senior Mid Full Time
USD 75K+
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Manager - Regulatory Compliance (Private Funds)
Los Angeles, CA, United States IQ-EQ logo IQ-EQ
Securities Act NFA CFTC Investment Advisers Act FINRA SEC Regulations Office Software Compliance programs Financial controls +10
Senior Mid Full Time
USD 75K+
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Senior Manager - Regulatory Compliance (Private Funds)
San Diego, CA, United States IQ-EQ logo IQ-EQ
NFA CFTC Securities Act Investment Advisers Act FINRA Policy Review SEC Regulations Compliance programs Financial controls +4
Senior Full Time
USD 90K+
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