AML Advisory Team Lead - Broker-Dealer Securities Division StoneX GroupAML Advisory Team Lead - Broker-Dealer Securities DivisionNew York, New York$90,000–$135,000 / yearThis position will involve, among other tasks, responding to the front office inquiries regarding customer-related matters; advising on CIP/KYC/CDD and other AML requirements; analyzing enhanced due diligence (EDD) reviews to evaluate customer risk and providing clearance; handling activity and adverse media alert escalations for further review; working with independent auditor(s) and regulators to provide information being requested. Maintaining an in-depth understanding of how Bank Secrecy Act (BSA)/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements apply in practice to all aspects of the Clearing (Direct and Indirect) and Wealth Management business lines in the BD Securities Division.
AML Advisory Team Lead Broker Dealer Securities Division StoneX Group IncAML Advisory Team Lead Broker Dealer Securities DivisionWarren, NJ$90,000–$125,000 / yearThis position will involve, among other tasks, responding to the front office inquiries regarding customer-related matters; advising on CIP/KYC/CDD and other AML requirements; analyzing enhanced due diligence (EDD) reviews to evaluate customer risk and providing clearance; handling activity and adverse media alert escalations for further review; working with independent auditor(s) and regulators to provide information being requested. Primary Responsibilities include but are not limited to: Maintaining an in-depth understanding of how Bank Secrecy Act (BSA)/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements apply in practice to all aspects of the Clearing (Direct and Indirect) and Wealth Management business lines in the BD Securities Division.
Manager - Capital Markets Surveillance DeloitteManager - Capital Markets SurveillanceMorristown, NJ$144,600–$265,100 / yearStrong working knowledge of a range of financial services and / or securities-related business models, products, and services particular to the applicable industry, including deep understanding of traded asset classes and products, and related data (Orders, executions, RFQs, Market Data, etc.). Understand the impact of key technology trends and workforce changes impacting our clients through engagement with innovative and emergent technologies, including cloud computing, big data and analytics, process automation, artificial intelligence / machine learning, and other digital strategies.
Manager, Futures Regulatory Compliance Futu SecuritiesManager, Futures Regulatory ComplianceJersey City, NJServe as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm's futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.
Manager, Futures Regulatory Compliance Futu Securities International (Hong Kong) LtdManager, Futures Regulatory ComplianceJersey City, NJServe as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm's futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.
VP, Regulatory Finance Futu SecuritiesVP, Regulatory FinanceJersey City, NJThe VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements. The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits.
Assistant General Counsel, VP - Equity Finance Wells Fargo & CoAssistant General Counsel, VP - Equity FinanceNew York, NY$191,000–$305,000 / yearThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. About this role: Wells Fargo is seeking an Equity Finance attorney to join its legal team, providing expert legal support for equity finance (prime brokerage, stock loan, option market making, and delta one swaps).
VP, Regulatory Finance Futu Securities International (Hong Kong) LtdVP, Regulatory FinanceJersey City, NJThe VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements. The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits.
Office/Administrative Coordinator Oppenheimer Holdings IncOffice/Administrative CoordinatorNew York, NY$65,000–$70,000 / yearWith 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. Our Investment Banking Team is committed to providing in-depth industry knowledge and delivering creative, market-based strategies to clients in all major industries, with a specific focus on Consumer and Retail, Financial Institutions, Healthcare, Rental Services, Technology, Media and Communications as well as Transportation and Logistics.
Digital Assets Portfolio Enablement And Governance, Vice President Morgan StanleyDigital Assets Portfolio Enablement And Governance, Vice PresidentPurchase, NY$110,000–$190,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. WM Platforms consists of ten sub-teams including: Field Experience & Platforms, Digital Client Experience & Platforms, Workplace Platforms, Automation & Workflow, Digital Trading & Investing, Generative AI UX Design & Research, Strategy & Execution, WM Platforms Risk and the Chief Operating Office.
Digital Assets Portfolio Enablement and Governance, Vice President Morgan StanleyDigital Assets Portfolio Enablement and Governance, Vice PresidentPurchase, NY$110,000–$190,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. WM Platforms consists of ten sub-teams including: Field Experience & Platforms, Digital Client Experience & Platforms, Workplace Platforms, Automation & Workflow, Digital Trading & Investing, Generative AI UX Design & Research, Strategy & Execution, WM Platforms Risk and the Chief Operating Office.
Account Operations Specialist MegaCorp LogisticsAccount Operations SpecialistWayne, New JerseyWe are seeking highly creative and motivated individuals who are committed to finding successful answers to our clients' needs. Ranked as a top 30 brokerage company and in the top 100 of all Logistics Companies in the US, MegaCorp Logistics is a fast-growing third-party logistics company.
Manager, Futures Regulatory Compliance moomooManager, Futures Regulatory ComplianceJersey City, NJ$135,000–$165,000 / yearServe as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm’s futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.
Director, Compliance Regulatory moomooDirector, Compliance RegulatoryJersey City, NJ$190,000–$230,000 / yearGenerous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policyOpportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional workPerformance 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.
Advisory Program Product Specialist Job Description Oppenheimer Holdings IncAdvisory Program Product Specialist Job DescriptionNew York, NY$70,000–$80,000 / yearWith 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. This role works closely with Financial Advisors, Compliance, Program Administration, and Technology teams to support Financial Advisor Directed and Discretionary Advisory Programs and related business initiatives.
Vice President, Trading Surveillance Compliance moomooVice President, Trading Surveillance ComplianceJersey City, NJ$120,000–$160,000 / yearstands 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). The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes.
VP, Regulatory Finance moomooVP, Regulatory FinanceJersey City, NJ$200,000–$250,000 / yearThe VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements. The VP, Regulatory Reporting will oversee the firm’s regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits.
Financial Customer Experience Associate - Licensed moomooFinancial Customer Experience Associate - LicensedNew York, NY$55,000–$100,000 / yearstands 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). 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.
Director Capital Markets Management Consulting NTT DATA Services, LLCDirector Capital Markets Management ConsultingNY$214,560–$357,600 / yearThis role will focus on identifying new opportunities, building senior client relationships, shaping transformation-led solutions, and accelerating growth across capital markets clients including investment banks, broker-dealers, asset managers, exchanges, and financial market infrastructure firms. We are seeking a strategic and growth-oriented Business Acceleration Growth Lead with strong Capital Markets experience to drive business expansion, revenue growth, and client engagement in the New York financial services market.
Vice President, Assistant General Counsel - Retirement LPL Financial Holdings IncVice President, Assistant General Counsel - RetirementNew York, NY$168,611–$281,087 / yearResponsibilities: Advise on impacts of new and changing regulations affecting the retirement business of a broker-dealer, investment advisor, custodian and record keeper, in particular, regulatory developments from the Department of Labor (DOL), Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and state regulators. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.