Top Finance Jobs

The Senior Compliance Analyst will ensure regulatory compliance, investigate inquiries, guide teams on compliance issues, and maintain procedural integrity, leveraging AI for efficiency.

Perform month-end, quarterly, and annual general ledger close activities; estimate and record expense accruals; prepare account reconciliations; support revenue analysis, fixed assets, intercompany items; pull data for regulatory filings; respond to audit and exam requests; cross-train teammates; improve workflows and controls; and participate in firmwide and departmental projects.

Lead a compliance team to manage regulatory inquiries and examinations, provide regulatory guidance across Trading and Operations, implement controls and QA processes, and train staff to ensure SEC and FINRA compliance for broker-dealer activities.

Manage end-to-end securities trade processing and settlement, perform reconciliations and investigations with custodians, improve back-office processes, conduct compliance audits, and maintain accurate transaction and account data to ensure operational integrity.

The Portfolio Manager executes daily trading workflows, manages client sessions, ensures compliance, and monitors trade execution quality for sub-advisory clients.