4 jobs found
Lead Buyer, Procurement
FINRA
Join Us in Driving Strategic Value Through Procurement Excellence Are you a procurement professional ready to make an impact at a leading regulatory organization? In this dynamic role, you'll be a trusted business partner, working collaboratively across FINRA to understand diverse business needs and...
Today
Co-Founder & CEO - AI RIA Compliance
Robert DeMaria's Organization
FutureSight is hiring an experienced and visionary Founding CEO to lead the launch of a new AI Compliance venture serving SEC- and FINRA-regulated firms. Today, compliance teams at RIAs and broker-dealers spend countless hours manually reviewing marketing materials, employee communications, and trad...
5 days ago
Compliance Analyst - Branch Exams
Cetera Financial Group
Description The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships...
24 days ago
Compliance Analyst - Branch Exams
Cetera Financial Group
Description The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships...
24 days ago
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