Capital Markets Compliance Analyst Broker Dealer Monitoring And Surveillance in united states (1000+)

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19 hours agoBe an early applicant
Assurance Manager - Broker Dealer/Capital Markets
RSM US LLP
/
Accounting · Consulting · Late Stage
Denver, CO
Full-time
$90K/yr - $170K/yr
Onsite
Mid, Senior Level
5+ years exp
Less than 25 applicants


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Growth Opportunities
No H1B

1 day ago
Broker Dealer Compliance Analyst
FIS
/
Banking · Financial Services · Public
Bolingbrook, IL
Full-time
$59K/yr - $97K/yr
Onsite
Entry, Mid Level
2+ years exp
100 applicants


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2 weeks ago
Capital Markets Compliance Analyst- Series 24/Broker-Dealer Supervision
Regions Bank
/
Banking · Insurance · Late Stage
Atlanta, GA
Full-time
$95K/yr - $122K/yr
Onsite
Mid, Senior Level
5+ years exp
Less than 25 applicants


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4 days ago
Broker Dealer Compliance Analyst
Aspida
/
Finance · Financial Services · Growth Stage
Durham, NC
Full-time
Hybrid
Senior Level
5+ years exp
95 applicants


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Growth Opportunities

1 week ago
Senior Capital Markets Surveillance Analyst
Oppenheimer & Co. Inc.
/
Financial Services · Public
New York, NY
Full-time
$85K/yr - $100K/yr
Onsite
Mid, Senior Level
5+ years exp
Less than 25 applicants


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H1B Sponsor Likely

3 weeks ago
Compliance Analyst - Capital Markets Branch Oversight
Baird
/
Financial Services · Late Stage
Milwaukee, WI
Full-time
Hybrid
Entry, Mid Level
1+ years exp
29 applicants


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Growth Opportunities

3 months ago
AI/ML Engineer - capital markets/ financial trading/ compliance surveillance regulations
Intone
/
Consulting · Information Services · Late Stage
United States
Full-time
Remote
Mid, Senior Level
68 applicants


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Growth Opportunities
H1B Sponsor Likely

1 week ago
Compliance Delegation Oversight Clinical Auditing and Monitoring Data Analyst III
L.A. Care Health Plan
/
Fitness · Government · Late Stage
1200 Building
Full-time
$89K/yr - $142K/yr
Onsite
Mid, Senior Level
4+ years exp
74 applicants


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1 week ago
Marketing Compliance Broker/Dealer Officer
TCW
/
Asset Management · Finance · Late Stage
Los Angeles, CA
Full-time
$115K/yr - $150K/yr
Hybrid
Senior Level
6+ years exp
48 applicants


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H1B Sponsor Likely

3 months ago
Associate - Market Surveillance & Monitoring (Enforcement) - Operations (Audit/ Inspection/ Enforcement/ Compliance)
Hong Kong Exchanges and Clearing Limited (HKEX)
/
Finance · Financial Services · Public
HK-ONE ES 21/F
Full-time
Onsite
Mid Level
3+ years exp
Less than 25 applicants


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1 week ago
Senior Compliance Analyst (Broker-Dealer)
Atlantic Group
/
B2B · Human Resources · Growth Stage
New York, NY
Full-time
$95K/yr - $125K/yr
Hybrid
Mid, Senior Level
3+ years exp
Less than 25 applicants


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Growth Opportunities

3 weeks ago
Internal Auditor Broker Dealer Capital Markets
Artius Solutions
/
Consulting · Information Technology · Early Stage
New York, NY
Contract
$80/hr - $95/hr
Hybrid
Senior Level, Lead/Staff, Director/Executive
10+ years exp
37 applicants


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2 weeks ago
Investment Banking Senior Associate/Vice President | Broker-Dealer & Capital Markets
Houlihan Lokey
/
Banking · Finance · Public
New York, NY, USA
Full-time
$200K/yr - $250K/yr
Onsite
Mid, Senior Level
5+ years exp
53 applicants


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Growth Opportunities
H1B Sponsor Likely

2 days agoBe an early applicant
Compliance Analyst - Broker Dealer Support
Hartford Funds
/
Asset Management · Banking · Growth Stage
Wayne, PA
Full-time
Hybrid
Entry, Mid Level
2+ years exp
Less than 25 applicants


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3 months ago
Assurance Manager - Broker Dealer/Capital Markets
RSM US LLP
/
Accounting · Consulting · Late Stage
Dallas
Full-time
$90K/yr - $170K/yr
Onsite
Senior Level
5+ years exp
Less than 25 applicants


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Growth Opportunities
No H1B

4 months ago
Broker Dealer Compliance Analyst
FIS
/
Banking · Financial Services · Public
US IL BOL 270 SteA
Full-time
$59K/yr - $97K/yr
Onsite
Entry, Mid Level
2+ years exp
69 applicants


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2 hours agoBe an early applicant
Sr. Compliance Analyst, Wealth Management
ACA Group
/
Consulting · Cyber Security · Late Stage
New Jersey, United States
Full-time
Onsite
Mid, Senior Level
1+ years exp
Less than 25 applicants


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7 hours ago
Analyst, Financial CAM
Trimont
/
Commercial Real Estate · Credit · Late Stage
Dallas, Texas, United States
Full-time
Onsite
New Grad, Entry Level
44 applicants


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13 hours agoBe an early applicant
Trade Compliance Analyst - Tampa, FL
Signode
/
Manufacturing · Packaging Services · Late Stage
Tampa, FL
Full-time
$72K/yr - $92K/yr
Onsite
Mid Level
3+ years exp
Less than 25 applicants


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12 hours agoBe an early applicant
Treasury Liquidity Analyst
Huntington National Bank
/
Asset Management · Finance · Public
Pittsburgh, PA
Full-time
Hybrid
Mid Level
3+ years exp
Less than 25 applicants


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MATCH SCORE
No H1B