Provide regulatory and compliance support for derivative trading, intermediation and clearing business units, and legal guidance to exchange and clearing house staff.
Responsibilities
Provide regulatory and compliance support for the derivative trading, intermediation and clearing business units.
Provide legal guidance and services to exchange and clearing house staff.
Prepare board memoranda, rule amendment filings and notices.
Assist exchange membership in the onboarding of new customers.
Assist with comment letters and the review of new regulations.
The Compliance Principal supports the firm's registered representatives and investment adviser representatives on compliance matters, with a focus on account and transaction supervision.
Compensation
Annual base salary range (full-time equivalent): $70,000 to $110,000.
Responsibilities
Review surveillance reports and trade alerts for client and employee accounts, and resolve sales practice concerns within the expected service level.
Perform secondary reviews of high-risk accounts and complex transactions, and approve transactions that require principal review.
Investigate issues, document findings, and drive corrective actions with advisors and business units.
Review insurance and annuity recommendations and transactions for suitability and supervisory requirements, and document approval decisions.
Escalate exceptions and work with advisors and internal teams to resolve them.
Requirements
Bachelor's degree in business, finance, or a related field, or equivalent industry experience.
Leads the development, implementation, maintenance, and administration of the regulatory compliance program for a U.S. registered investment adviser (RIA). Acts as the designated Chief Compliance Officer of the RIA.
Compensation
Salary: $120,000.00 - $250,000.00
Responsibilities
Leads the development, implementation, maintenance, and administration of the regulatory compliance program for a U.S. registered investment adviser (RIA).
Oversees the establishment of a comprehensive compliance framework in connection with the entity's SEC registration.
Provides regulatory compliance advice and oversight relating to investment advisory activities, fund operations, and related business initiatives.
Coordinates and performs regulatory risk assessments, monitoring, testing, and surveillance activities.
Works with business/group management, Legal, Risk and other internal partners to ensure regulatory, corporate, and fiduciary obligations are met.
Requirements
post-secondary degree in a related field
Nice to have: Certified Investment Management Compliance Professional (IACCP)
Provide legal support to a dually‑registered broker‑dealer and registered investment adviser, drafting and reviewing legal documents, conducting research, and advising on regulatory matters.
Compensation
The good‑faith expected salary range for the above position is $125,000 - $175,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company‑matching contributions; health, dental, vision, life and disability insurance; and paid time‑off plan.
Responsibilities
Drafts, reviews, and advises on contracts, disclosures, and legal documents related to broker‑dealer and RIA products and services.
Conducts legal research on laws, rules, regulations, and industry guidance affecting assigned areas of responsibility.
Prepares legal opinions and memoranda on laws, rules, and regulations applicable to the business, including SEC, FINRA, and state securities laws.
Provides counsel and assistance on legal matters pertaining to broker‑dealer and investment adviser operations.
Identifies regulatory and legal gaps and recommends policy development and operational improvements.
Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities, advise on regulatory requirements, maintain and enhance policies, participate in risk assessments, identify control gaps, support regulatory examinations, partner with surveillance and legal functions, conduct reviews and special projects, assist with implementation of regulatory developments.
Compensation
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions.
Responsibilities
Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities.
Advise on regulatory requirements impacting trading businesses, including best execution, trade reporting, sales and trading conduct, and distribution of securities.
Maintain and enhance policies, procedures, and standards governing trading-related activities.
Participate in risk assessments and challenge the identification and management of regulatory and compliance risks.
Identify control gaps, determine root causes of issues, and partner with stakeholders to develop and implement corrective actions.
Requirements
Bachelor's degree required
Nice to have: Experience supporting equities and fixed income trading businesses
Nice to have: Experience interacting with regulators, auditors, and control partners
Nice to have: Knowledge of primary market activities
Manages key risk management, compliance, and quality management activities that support audit quality and consistent application of professional standards, regulatory requirements, and firm policies.
The Audit Associate should be able to perform a broad range of accounting tasks with direct supervision of an in-charge accountant/Manager.
Compensation
The compensation for this position is $80,000.
Responsibilities
Assist the Senior or in-charge in the development of audit strategy, planning, review and interpretation of audit findings for clients within our Not-for-Profit Independent Schools industry group.
Perform internal control testing, document deficiencies and develop comments for inclusion in management letters.
Perform risk assessment process, apply knowledge in completing all related forms.
Participate in preparation of financial report (statements, footnotes and any supplemental information).
Plan, organize and work efficiently to identify opportunities to improve engagement profitability.
Requirements
Bachelor’s and/or Master’s Accounting degree from an accredited college or university.
Researches and analyzes technical requirements and translates professional standards, regulatory requirements, and firm policies into practical guidance for assurance practitioners
Manages and monitors compliance activities and Risk Management processes, including applicable SoQM controls and regulatory and firm requirements
Develops and maintains Risk Management policies, guidance, tools, learning content, and process documentation to support consistent application of requirements
Executes assigned system requirements, testing, and enhancements, including documenting requirements, developing test scenarios, performing testing, and identifying issues or needed changes
Applies professional judgment to Risk Management matters, independently addressing routine matters and escalating more complex or significant issues
Requirements
Bachelor’s degree, required; focus in Accounting, preferred
MBA or Master’s in accountancy, preferred
Nice to have: Experience in the use of various assurance applications and research tools
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