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Location: NY (Local)\nPosition Overview: Client is a FINRA-registered broker-dealer committed to safeguarding client data and maintaining the integrity of our trading and infrastructure systems. We are seeking a Cybersecurity Operations Specialist to join our security operation...\n","descriptionText","Cybersecurity Operations Specialist Staffing the Universe Marketing & Communications Cybersecurity Operations Specialist Location: NY (Local) Position Overview: Client is a FINRA-registered broker-dealer committed to safeguarding client data and maintaining the integrity of our trading and infrastructure systems. We are seeking a Cybersecurity Operations Specialist to join our security operation...","shortDescription","Cybersecurity Operations Specialist

Location: NY (Local)\nPosition Overview: Client is a FINRA-registered broker-dealer committed to safegu...","location","New York, New York, us, 10261","companyName","Staffing the Universe","salaryMin","salaryMax","salaryDescription","https://us.thebigjobsite.com/redirectfeedjob?jobid=ECF389E604AD6A0A45349A2F111BC7D3&source=mediabistroxmlus&utm_source=mediabistroxmlus&jobSiteKey=BA5B9CEEE0564826E321B846F3E7CF22","companyDescription","companyWebsite","displayLogo","https://www.mediabistro.com/public/images/desk-100x50.webp","displayThumbnail","displayHeadline","Work at Staffing the Universe","isManualPosted","costPerClick",0.15,"displayUrl","fullUrl","https://www.mediabistro.com/jobs/2408907615-cybersecurity-operations-specialist","strippedDescription","Cybersecurity Operations SpecialistLocation: NY (Local)\nPosition Overview: Client is a FINRA-registered broker-dealer committed to safeguarding client data and maintaining the integrity of our trading and infrastructure systems. We are seeking a Cybersecurity Operations Specialist to join our security operation...\n","parsedLocation",{"_464":465,"_466":465,"_467":468,"_469":191,"_470":191,"_471":472},"city","New York","state","country","us","street1","street2","postal_code","10261","displayPublishedAt","4 days ago","shortTitle","shortLocation","level","searchCompanyPath","/jobs?keyword=Staffing+the+Universe","searchLocationPath","/jobs?location=New+York%2C+New+York%2C+us%2C+10261","searchTitlePath","/jobs?keyword=Cybersecurity+Operations+Specialist","featuredCompany",{"_422":486,"_15":487,"_488":425,"_74":489,"_490":491,"_240":492,"_439":493,"_494":-5,"_495":-5,"_496":-5,"_497":-5,"_498":499,"_500":501,"_449":489,"_457":502,"_451":489},211,"Mansueto Ventures","agency","https://production-rails-default.s3.us-east-2.amazonaws.com/public/legacy-logos/109473.JPG","slug","mansueto-ventures-careers","

Mansueto Ventures is home to two of the most iconic and vibrant brands in business publishing: Inc. and Fast Company. Every day, the content, awards, and events produced help entrepreneurs and innovators succeed by providing useful insights, sparking essential conversations, and offering much-needed inspiration.

Inc. is the voice of the American entrepreneur, inspiring and documenting the risk-takers and ultra-driven go-getters who represent the most dynamic force in the American economy.
Fast Company is the world’s leading business media brand, focusing on innovation in technology, leadership, and design to inspire readers to shape the future of business.

","New York, NY","coloredLogo","logoAttachment","thumbnail","thumbnailAttachment","hexCode","#080D0C","headline","Publisher of Inc. and Fast Company, empowering innovators and entrepreneurs.","/companies/mansueto-ventures-careers","hasJobSubmission","isSavedJob","similarJobs",[507,519,527,539,553],{"_426":425,"_430":508,"_449":450,"_441":509,"_240":510,"_437":511,"_424":425,"_111":512,"_428":191,"_429":191,"_451":450,"_439":440,"_422":513,"_452":514,"_427":118,"_473":515,"_457":516,"_475":512,"_476":440,"_478":517,"_480":481,"_482":518},["D",1769940000000],"Mission Staffing","A global investment bank is seeking a Compliance professional in New York with extensive broker-dealer experience. Responsibilities include executing compliance testing, supporting the risk framework, and interpreting regulatory requirements. Candidates should have at least 5 years of compliance experience in investment banking or with broker-dealers, alongside strong knowledge of SEC and FINRA rules. This role offers a dynamic environment between sales and trading activities, focusing on risk and controls oversight.\n#J-18808-Ljbffr\n","A global investment bank is seeking a Compliance professional in New York with extensive broker-dealer experience. Responsibilities include executi...","Senior Compliance Lead: Sales & Trading (Broker-Dealer)",["B","2388770187"],"Work at Mission Staffing","5 days ago","/jobs/2388770187-senior-compliance-lead-sales-trading-broker-dealer","/jobs?keyword=Mission+Staffing","/jobs?keyword=Senior+Compliance+Lead%3A+Sales+%26+Trading+%28Broker-Dealer%29",{"_426":425,"_430":520,"_449":450,"_441":509,"_240":521,"_437":522,"_424":425,"_111":523,"_428":191,"_429":191,"_451":450,"_439":440,"_422":524,"_452":514,"_427":115,"_473":515,"_457":525,"_475":523,"_476":440,"_478":517,"_480":481,"_482":526},["D",1769940000000],"Our client, a global investment bank, is seeking a Compliance professional with strong broker-dealer experience supporting Sales & Trading activities. This role will focus on risk and control oversight, ongoing monitoring, and compliance testing across equity and fixed income businesses, with exposure to investment banking and research-related regulatory requirements.\nResponsibilities include:\nExecute compliance testing as part of the firm’s ongoing monitoring program to assess adherence to federal regulations and internal policies/controls.\nSupport a risk and controls framework across Sales & Trading, helping identify, evaluate, and mitigate compliance risks.\nReview and interpret SEC and FINRA rules and guidance impacting broker-dealers.\nMonitor regulatory developments and assess applicability to the business, particularly in investment banking, equity and fixed income sales & trading, and research.\nPartner with business stakeholders to strengthen supervisory controls and ensure appropriate escalation and documentation of issues.\nRequirements:\nAt least 5+ years of Compliance experience within a broker-dealer and/or investment bank, with direct support of Sales & Trading activities (required).\nHands-on experience performing compliance testing/monitoring within an established compliance program.\nStrong knowledge of broker-dealer regulatory requirements, including SEC/FINRA rules, and related risks across Sales & Trading and investment banking.\nAbility to evaluate controls and provide practical guidance in a fast-paced, front-office environment.

#J-18808-Ljbffr\n","Our client, a global investment bank, is seeking a Compliance professional with strong broker-dealer experience supporting Sales & Trading activiti...","Compliance Officer- Sales & Trading",["B","2388768766"],"/jobs/2388768766-compliance-officer-sales-trading","/jobs?keyword=Compliance+Officer-+Sales+%26+Trading",{"_426":425,"_430":528,"_449":450,"_441":529,"_240":530,"_437":531,"_424":425,"_111":532,"_428":191,"_429":191,"_451":450,"_439":440,"_422":533,"_452":534,"_427":118,"_473":535,"_457":536,"_475":532,"_476":440,"_478":537,"_480":481,"_482":538},["D",1770379200000],"TheStaffed","Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across FINRA registration and regulatory transformation initiatives. The role will support end-to-end registration processes—including onboarding, transfers, amendments, renewals, and terminations—while leading business analysis and delivery efforts for regulatory and operational technology platforms, including a new Registrations solution.

This is a highly visible, hands‑on role requiring strong broker‑dealer regulatory knowledge, proven experience supporting FINRA registrations, and the ability to translate complex regulatory and operational requirements into well‑defined business and technology solutions. The ideal candidate will work closely with business, technology, and leadership stakeholders to drive initiatives from requirements definition through user testing and production deployment.

Responsibilities & Qualifications

Support FINRA registration processes for Capital Markets clients, including onboarding, transfers, amendments, renewals, and terminations within a broker‑dealer environment

Lead business analysis activities for regulatory and operational initiatives, including requirements gathering, process mapping, gap analysis, and solution design for new Registrations platform

Review, translate, and prioritize business requirements with IT

Perform project management tasks to help prioritize, unblock issues, and assist with communication

Assist with user testing and sign‑offs, so that IT can push items to production

Stand‑up work items and team management structure for development and support of technology platforms supporting Front Office, Traders and Technology

Support stakeholders by performing current and future state flow, Target Operating Model development

Understand client's challenges and issues; document resolution options and go‑forward plans

Work with business groups to structure different business requirements into a prioritized set of requirements with estimates

Conduct detailed analyses to draw conclusions, and develop pertinent and insightful recommendations

Present findings and recommendations to client leadership

What you’ll bring with You

5+ years of experience as a Business Analyst within a broker‑dealer or Capital Markets environment

Prior experience supporting FINRA registrations or delivering projects involving registration systems or regulatory platforms

Strong working knowledge of broker‑dealer regulatory requirements, FINRA rules, and licensing exams.

Understanding of upstream / downstream applications and data

Ability to work on multiple workstreams from inception through to implementation

Ability to apply experience with existing software or processes to define and collect metrics and develop better processes to be used in the future

Required knowledge of regulations and securities transactions to help conduct requirement analysis, facilitate rule interpretations, document business requirements, document functional requirements and drive issue remediation

Exposure to multiple project management methodologies including, but not limited to Agile and Waterfall

Experience in successfully delivering business and technology projects with an understanding of product development lifecycle

Development productivity tools (JIRA, TFS, or other)

Microsoft office suite (Excel, PowerPoint, Project, Visio, etc.)

Excellent communication skills with the ability to liaise and influence a range of internal and external stakeholders

Bachelor's degree

#J-18808-Ljbffr\n","Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients ...","Business Analyst - Registrations Consultant",["B","2460381341"],"Work at TheStaffed","10 hours ago","/jobs/2460381341-business-analyst-registrations-consultant","/jobs?keyword=TheStaffed","/jobs?keyword=Business+Analyst+-+Registrations+Consultant",{"_426":425,"_430":540,"_449":450,"_441":541,"_240":542,"_437":543,"_424":425,"_111":544,"_428":191,"_429":191,"_451":450,"_439":545,"_422":546,"_452":547,"_427":118,"_473":548,"_457":549,"_475":544,"_476":545,"_478":550,"_480":551,"_482":552},["D",1769130000000],"TradeZero America","A fintech broker dealer is seeking an experienced Compliance Officer focused on social media and communications in Brooklyn. The role involves ensuring compliance with FINRA and SEC regulations and reporting to the Chief Compliance Officer. Candidates should have over 3 years of compliance experience at a Broker Dealer, knowledge of social media regulatory rules, and strong communication skills. This position offers the chance to work in a dynamic environment crucial to public equity trading.\n#J-18808-Ljbffr\n","A fintech broker dealer is seeking an experienced Compliance Officer focused on social media and communications in Brooklyn. The role involves ensu...","Compliance Lead — Social Media & Communications","Brooklyn, New York, United States, 11210",["B","2247057012"],"Work at TradeZero America","14 days ago","/jobs/2247057012-compliance-lead-social-media-communications","/jobs?keyword=TradeZero+America","/jobs?location=Brooklyn%2C+New+York%2C+United+States%2C+11210","/jobs?keyword=Compliance+Lead+%E2%80%94+Social+Media+%26+Communications",{"_426":425,"_430":554,"_449":450,"_441":555,"_240":556,"_437":557,"_424":425,"_111":558,"_428":191,"_429":191,"_451":450,"_439":559,"_422":560,"_452":561,"_427":118,"_473":562,"_457":563,"_475":558,"_476":559,"_478":564,"_480":565,"_482":566},["D",1770080400000],"Crypto.com","Finra Series 7 Registered Representative

Foris Capital US LLC, a Crypto.com company, is seeking an experienced FINRA Series 7 Registered Representative with a focus on IRAs and retirement accounts to join our broker/dealer team. This position is responsible for handling all IRA-related inquiries and transactions, supporting clients with every aspect of their retirement accounts, and ensuring compliance with applicable regulations.\nAs a key member of our client service team, you will be the front line of the firm's interaction with customers, assisting them with IRA rollovers, transfers, contributions, distributions, required minimum distributions (RMDs), beneficiary updates, and complex issues such as return of excess contributions and recharacterizations. You'll also contribute to improving processes and delivering an exceptional client experience across phone, email, and chat channels. This position is based out of Chicago, Illinois.\nResponsibilities\nSupervisory Oversight: Act as the primary supervisor for IRA-related communications and transactions; utilize your Series 24 to review and approve departmental workflows and ensure all client interactions meet FINRA/SEC standards.\nEscalation Leadership: Serve as the final point of contact for complex IRA issues, including intricate Inherited IRA cases, IRS reporting corrections, and high-value transfers.\nTeam Mentorship: Lead, coach, and develop a team of specialists. Conduct regular training sessions on evolving retirement account rules, RMD requirements, and tax implications.\nOperational Excellence: Identify bottlenecks in the IRA lifecycle (contributions, distributions, recharacterizations) and drive the implementation of automated or streamlined processes.\nQuality Assurance: Monitor phone, email, and chat interactions to maintain \"white-glove\" standards and regulatory accuracy across the team.\nStrategic Collaboration: Partner with Legal, Compliance, and Product teams to launch new retirement features and ensure educational content is both impactful and compliant.\nRegulatory Watchdog: Maintain an expert-level pulse on IRS and FINRA changes, pivoting team strategy quickly to adapt to new legislation (e.g., SECURE Act updates).\nContent Strategy: Oversee the development of client-facing tools and educational resources, ensuring they empower clients to make informed financial decisions.\nRequirements & Skills\nLicenses: Active FINRA Series 7, 63 (or 66), and 24 required.\nExperience: Minimum 4+ years in the retirement or brokerage industry, with at least 12 years in a leadership or senior-level capacity.\nDeep Subject Matter Expertise: Master-level knowledge of Traditional, Roth, and Inherited IRAs, including complex rollover and distribution strategies.\nLeadership Presence: Proven ability to build rapport with both high-net-worth clients and internal team members. You should be as comfortable coaching a peer as you are resolving a client dispute.\nOperational Grit: Highly organized and detail-oriented; capable of managing team performance metrics in a high-volume, fast-paced environment.\nCrypto Enthusiast: A genuine interest in the digital asset space and how crypto integrates with long-term retirement planning.\n$80,000 - $110,000 a year

","Finra Series 7 Registered Representative

Foris Capital US LLC, a Crypto.com company, is seeking an experienced FINRA Series 7 Registered R...","IRA Account Specialist, Team Lead (FINRA Series 24 required)","Chicago, Illinois, United States, 60601",["B","2413304645"],"Work at Crypto.com","3 days ago","/jobs/2413304645-ira-account-specialist-team-lead-finra-series-24-required","/jobs?keyword=Crypto.com","/jobs?location=Chicago%2C+Illinois%2C+United+States%2C+60601","/jobs?keyword=IRA+Account+Specialist%2C+Team+Lead+++%28FINRA+Series+24+required%29","actionData","errors"]