Finra Jobs

Support moomoo's NYC Brand Store activations as a Financial Customer Experience Associate, driving sales, building customer relationships, and delivering compliant in-person customer support.

An AVP in Equity Research (Metals & Mining) to develop rigorous company and sector research, present investment recommendations to institutional clients, and collaborate with trading and client teams at Barclays in New York.

Empathetic

Inclusive & Diverse

Mission Driven

Social Impact Driven

Serve as the operational lead for advisor teams, managing assigned high-net-worth client relationships and executing financial plan recommendations to help clients reach their goals.

Kaplan is hiring a remote Content Specialist to develop and edit securities and futures licensing exam materials while ensuring regulatory compliance and instructional quality.

FutureSight is looking for a founding CEO to lead an AI compliance SaaS venture, build product and team, win pilots with RIAs and broker-dealers, and raise the seed round.

Senior Compliance Officer at Belvedere Trading to lead regulatory compliance, oversight of FINRA CAT reporting, and implementation of scalable surveillance and policy solutions for a major proprietary trading firm in Chicago.

Lead an onsite QA team to architect test frameworks and deliver UI and API testing for Fixed Income, swaps and SWIFT-enabled capital markets trading platforms.

Manulife/John Hancock is hiring a Marketing Manager to oversee end-to-end print production and manage fund event communications in a regulated financial services setting.

Voya Financial is hiring an office-based Regional Consultant in Boston to support producers with sales illustrations, onboarding, and proactive outreach to drive product adoption.

Lead a venture-backed AI RegTech startup as Founding CEO—build the product, run pilots and pricing, raise seed capital, and scale a compliance automation platform for SEC- and FINRA-regulated firms.