Top Finance Jobs

Lead and execute technical internal audits within retail/institutional/insurance operations, coordinating integrated IT and operational testing, using analytics and AI tools. Manage projects, mentor staff, communicate findings to senior leadership and audit committees, support regulatory exam requests, and drive continuous improvement in audit processes and reporting.

Provide expert consultation on complex financial services compliance and supervision matters. Analyze issues, support solution design, drive consistent execution across field offices, deliver targeted training, and contribute to policy and process improvements. Partner with compliance, supervision, and business stakeholders to support annual compliance initiatives and transaction reviews.

The Family Wealth Strategist leads and integrates wealth management strategies for high-net-worth families, aligning financial plans with family values and objectives while coordinating with advisors and partners.

The Investment Compliance Consultant ensures adherence to compliance regulations, supports regulatory filings, monitors compliance practices, assists in risk management, and provides administrative support for compliance programs.

Conduct assessments of risk management and internal controls, collaborate with business on control enhancements, and utilize data analytics for audits.

Support VPs and regional teams delivering compliance and supervision consultation to field leadership and representatives. Conduct on-site FINRA-mandated branch inspections, interviews, and file reviews; document findings; train and educate staff; partner with oversight and home office teams to improve compliance processes; and serve as subject matter expert on regulatory matters and divisional projects.