7 Jobs for Finra Rules in the United States

VP, Investment Management Private Markets Attorney

MS Services Group, Inc. • New York, US • On-site

120,000 - 210,000 USD (est.)

•Full-Time•Permanent

AIFMDERISAFINRA RulesRegulation D

Head of Legal Administration

UMB FUND SERVICES INC • Milwaukee, US • On-site

176,796 - 260,029 USD (est.)

•Full-Time•Permanent

Microsoft WordMicrosoft ExcelMicrosoft OfficeETFs

Director, Trade Surveillance & Financial Crimes Compliance

moomoo • Jersey City, US • On-site

185,000 - 230,000 USD (est.)

•Full-Time•Permanent

OFACFINRA RulesRisk AssessmentUSA PATRIOT Act

Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY)

Manufacturers and Traders Trust Co • New York, US • Hybrid

109,300 - 182,100 USD (est.)

•Full-Time•Permanent

Rule 144AFINRA RulesRegulation MSurveillance

Director, Compliance Regulatory

moomoo • Dallas, US • On-site

190,000 - 230,000 USD (est.)

•Full-Time•Permanent

SEC RulesFINRA RulesInvestigationsControl Reviews

Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)

MUFG Securities Americas Inc. • New York, US • Hybrid

185,000 - 242,000 USD (est.)

•Full-Time•Permanent

ComplianceGovernanceFINRA RulesNFA Regulations

Intermediate Advisor Training and Quality Assurance Consultant

Transamerica • Cedar Rapids, US • Hybrid

65,000 - 75,000 USD (est.)

•Full-Time•Permanent

ComplianceCall MonitoringTraining DesignQuality Assurance

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