Securities Compliance Jobs

Lead and scale Crux’s securities compliance program across broker-dealer and RIA operations, serving as the primary regulatory liaison and owner of supervisory, testing, and filing obligations.

Kiln is hiring a US Legal Counsel to lead U.S. legal strategy and provide regulatory, product, and commercial counsel for its institutional staking and DeFi platform.

Sia Partners is looking for a Financial Services Senior Consultant to manage regulatory remediation programs and help financial clients navigate compliance, risk, and operational challenges.

Lead the financial planning, cross-functional execution, and operational setup for Voleon Securities as Head of Business Operations in a high-judgment, growth-oriented role.

Wise is hiring an experienced Compliance Senior Manager to architect and lead a robust Canada-focused compliance and AML/CTF program and serve as the firm's CAMLO.

D.A. Davidson is hiring an in-person Cashier Receptionist / Client Associate to deliver exceptional client service, handle cashiering tasks, and support branch and advisor operations.

Senior compliance leader needed to lead operational due diligence for third‑party fund managers and strengthen oversight for alternative investment products within Fidelity’s Asset Management Compliance organization.

Work remotely as a Securities Registrations Specialist managing registration filings, regulatory communications, and database reconciliation to ensure compliance for broker-dealer affiliated personnel across the U.S.

Join a remote compliance team as a Securities Registrations Specialist responsible for managing Form U4/U5/8R filings, license maintenance, and regulator interactions to ensure accurate, compliant registrations.

Work remotely as a Securities Registrations Specialist managing Form U4/U5/8R filings, regulator interactions (FINRA, NFA, state authorities), and registration database maintenance to ensure licensing compliance.

Raymond James is hiring a Branch Operations Specialist in Chattanooga to process client fund movements, support securities transactions, and provide administrative and operational support to the branch.

Sydecar seeks a detail-oriented In‑House Paralegal to manage SEC and state filings, support contract lifecycle activities, and assist compliance initiatives for a rapidly scaling fintech platform.

Support Financial Advisors and their clients through high-quality, detail-oriented client service and administrative work at Raymond James’ Monroeville branch.