Securities Compliance Jobs

FINRA’s Office of Strategic Engagement is hiring a Senior Principal Analyst to lead high-impact publications, speaker materials, and external messaging that advance regulatory oversight and industry engagement.

Experienced capital-markets professional needed to manage ABS/MBS client relationships and day-to-day trust administration for a major corporate trust group.

Serve the State of Nebraska as an Administrative Technician managing securities registration, records, and communications for the Department of Banking and Finance's Bureau of Securities.

Serve as the ABS Credit Approval Officer at U.S. Bank, reviewing and approving ABS exposures, assessing transaction risk, and monitoring portfolio performance across a range of asset classes.

Experienced counsel wanted to lead commercial negotiations and provide strategic legal guidance for a remote-first modular blockchain company operating across complex crypto and cross-border regulatory regimes.

A healthcare-focused Silicon Valley incubator is hiring a Corporate Paralegal to manage corporate governance, cap table administration (Carta), and transaction support for financing and closings.

Serve as the Control Room Officer safeguarding information flow, enforcing information barriers, and keeping the business regulator-ready within a fast-paced digital finance environment.

Experienced funds lawyer needed to lead formation, structuring, and regulatory compliance for crypto-focused venture funds across Reg D and Reg S offerings in a remote role at a high-growth crypto platform.

Protective Life is hiring an Investment Operations Associate II in Birmingham to manage securities and derivatives data, perform reconciliations and reporting, and support systems and middle-office initiatives on a hybrid schedule.

Product Counsel to join SimpleClosure and embed legal and compliance expertise into product, operations, and sales for a fast-moving legal-tech startup focused on business dissolutions.