Broker Dealer Compliance Consultant Job at Robert Half (New York)

Ai-enabled compliance reviewer

As an AI-Enabled Compliance Reviewer at Norm Ai, you will serve as a dedicated c...

Location

United States , New York City

Salary:

100000.00 - 140000.00 USD / Year

Norm AI

Expiration Date

Until further notice

Requirements

Bachelor’s degree
2 or more years of experience performing regulatory compliance consulting or compliance analysis for investment advisers or similar regulated entities
Hands-on experience with compliance testing, regulatory exams, or advisory engagements
Experience working with SEC regulations and FINRA rules applicable to investment advisers and broker-dealers

Job Responsibility

Serve as a compliance reviewer for Norm Ai clients, functioning as an extension of the client’s compliance team
Perform hands-on regulatory reviews across marketing materials, disclosures, policies and procedures, and surveillance outputs
Work closely with Norm’s Legal Engineers and Norm Law, LLP’s Attorneys to translate regulatory requirements, review standards, and client-specific interpretations into AI agents and structured review logic
Support SEC examinations, compliance program reviews, and other regulatory or advisory engagements for investment advisers and related financial institutions
Note: Work on-site with clients may be required, including multiple days per week in a secondment-style arrangement, typically within the NYC tri-state area

What we offer

Equity compensation
401(k) plan with an employer match
Top-tier insurance coverage, encompassing health, dental, hospital, accident, and vision plans
Relocation reimbursement for candidates needing to relocate to NYC
Fast-paced learning environment where professional growth is constant

Fulltime

Tax Manager

As a Tax Manager, you will be working on variety of clients and will specialize ...

Location

United States , Chicago

Salary:

150000.00 - 160000.00 USD / Year

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor’s Degree and preferably a Master’s Degree in Taxation
Minimum of 7 years of Tax experience
Experience with clients within and extensive knowledge of the financial services industry
CPA in Illinois
Exemplary client service and communication skills
Experience with Pass Through or Flow Through entities
Extensive exposure to federal, state and local income taxation of financial service clients

Job Responsibility

Work on variety of clients and specialize in the taxation of financial products and investment vehicles providing both tax consulting and tax compliance services to: Proprietary/High Frequency Trading Firms
Broker-Dealers
Commodity Pools and Hedge Funds
as well as high-net-worth individuals associated with these types of entities and other investors focused in the financial services industry
Deal with complex financial products including OTC derivatives, futures, options, swaps, fixed income, convertible debt, asset-backed securities, and other derivative products
Work closely with our Tax Partner to research new tax rules, prepare and review tax returns, and to develop our tax practice within the financial services industry
Coach, develop and lead tax professionals, and build a team of dedicated tax specialists

What we offer

medical, vision, dental, life, and disability insurance

Fulltime

Lead Financial Reporting Analyst

Wells Fargo is seeking a Lead Financial Reporting Analyst.

Location

India , Hyderabad

Salary:

Not provided

Wells Fargo

Expiration Date

August 17, 2026

Requirements

5+ years of Finance, Accounting, Financial Reporting experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
B. Tech/CA/MBA degree or higher preferred with relevant 5+years of experience in one or a combination of the following: finance, accounting, analytics, and reporting
Demonstrate solid analytical skills from a Regulatory Reporting perspective. Specifically, Basel and Capital Reporting.
Ability to actively participate in workflow and task execution within a team environment
Experience in US Regulatory Reporting highly desired
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Knowledge and understanding of research and analysis
Ability to work effectively in a team environment and across all organizational levels
Solid analytical skills including the ability to handle multiple projects concurrently

Job Responsibility

Meet the company’s regulatory, Security and Exchange Commission, and other external financial reporting requirements
Lead planning and execution strategy of large, complex external financial reporting requirements
Provide technical interpretation on various matters and is a key change agent in building and adopting best practices within the functional area
Lead implementation of the most complex projects and initiatives impacting multiple lines of business across the enterprise
Lead stakeholder development by maintaining ongoing interaction that increases their awareness, understanding, accountability, and engagement in the reporting process
Lead and direct accounting technical regulatory capital and regulatory reporting guidance
Lead technical advisory and reporting delivery in the company’s coordination of the regulatory reporting reviews performed by United States Federal Banking and Broker Dealer agencies
Identify compliance and risk management requirements for supported area and work with other stakeholders to implement key risk initiatives
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Communicate and provide strategic consultation to leadership throughout the enterprise

Director of Advisor Recruitment

The Director of Advisor Recruitment leads a team of Business Development Consult...

Location

United States , Saint Petersburg

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

Knowledge of: Financial advisor business models and practice structures
Securities industry regulations and compliance standards
Recruitment and talent acquisition strategies in financial services
Strategic planning and performance management
Business development and relationship management best practices. Skill in: Leading and developing high-performing teams
Communicating effectively with internal and external stakeholders
Analyzing recruitment data and translating insights into action
Managing multiple priorities and projects in a fast-paced environment
Building and maintaining strong professional networks. Ability to: Inspire and motivate team members toward shared goals
Solve complex problems and make data-driven decisions

Job Responsibility

Lead and manage a team of Business Development Consultants, providing coaching, performance feedback, and professional development
Translate strategic recruitment goals into operational plans and ensure alignment with divisional objectives
Oversee the execution of advisor recruitment activities, including sourcing, prospect engagement, and home office visit coordination
Monitor recruitment metrics and trends to evaluate effectiveness and identify opportunities for improvement
Collaborate with cross-functional teams (e.g., Transition Services, Marketing, Compliance) to ensure a seamless advisor onboarding experience
Expand the diversity and quality of advisor candidate pipelines through innovative sourcing strategies and partnerships
Represent Raymond James at industry events, conferences, and networking functions to promote the firm and build relationships
Contribute to the development and implementation of best practices across the recruitment function
Partner with senior leadership to refine messaging, positioning, and recruitment processes
Ensure compliance with industry regulations and internal policies throughout the recruitment lifecycle.

Fulltime

New

Customer Service Representative

We are looking for a dedicated Customer Service Representative to join our team ...

Location

United States , Washington

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Proven experience in customer service, preferably in a call center or similar environment
Strong ability to manage inbound and outbound calls with professionalism and efficiency
Proficiency in data entry and maintaining accurate records
Familiarity with document scanning, filing, and administrative tasks
Excellent communication skills, both verbal and written, to interact effectively with customers
High level of attention to detail and ability to handle sensitive information with discretion
Ability to work collaboratively in a team-oriented environment
Organizational skills to manage multiple responsibilities and prioritize tasks effectively

Job Responsibility

Provide assistance to customers on the housing waitlist or those seeking to apply, ensuring all inquiries are handled promptly and professionally
Collect, manage, and organize physical documents from customers while maintaining accurate records
Update and maintain the company database with customer information and application details
Scan and file documents efficiently to ensure easy access and secure storage
Perform various clerical and administrative tasks to support the team’s operations
Answer inbound calls from customers and respond to inquiries with clarity and professionalism
Make outbound calls when necessary to follow up on customer requests or document submissions
Ensure high levels of customer satisfaction by addressing concerns and resolving issues effectively
Collaborate with other team members to improve processes and enhance service quality
Uphold confidentiality and accuracy in all customer interactions and data handling

What we offer

medical, vision, dental, and life and disability insurance
eligible to enroll in our company 401(k) plan

New

Fire Door Surveyor

A growing fire safety consultancy is seeking an experienced Fire Door Surveyor t...

Location

United Kingdom , Derby

Salary:

35000.00 - 45000.00 GBP / Year

Brandon James

Expiration Date

Until further notice

Requirements

Experience carrying out fire door inspections or passive fire protection surveys
Good knowledge of timber fire door assemblies and associated components
Understanding of UK fire safety legislation, British Standards and EN guidance
Relevant qualifications desirable (Fire Door Inspector Scheme, ASFP, NVQ Passive Fire Protection or similar)
Excellent attention to detail and report writing ability
Ability to work independently or as part of a team
Strong communication and organisational skills
Flexible approach to travel and occasional working away when required
Full UK driving licence preferred

Job Responsibility

Carrying out fire door inspections across residential, commercial and public sector buildings
Assessing timber fire doors, frames and associated ironmongery for compliance
Verifying that frames, linings and casings are appropriate for the fire door rating
Ensuring intumescent and smoke seals are correctly installed and compatible
Reviewing fire door installations against manufacturer specifications and certification
Identifying non-compliant installations and recommending remedial works
Producing detailed survey reports with clear recommendations for clients
Supporting wider passive fire and compartmentation surveys where required
Ensuring all works comply with current Health & Safety legislation and industry standards

What we offer

Company tablet, laptop and mobile phone
Pension scheme
Travel expenses and vehicle allowance following probation
Employee recognition programme and referral scheme
Birthday leave and additional holiday for length of service
Ongoing CPD training and career development opportunities

Fulltime

New

Customer Service Representative

Robert Half is partnering with a local organization to identify a Customer Servi...

Location

United States , Silver Spring

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Previous customer service or call center experience preferred
Strong communication and problem-solving skills
Comfortable handling high call volume and multitasking
Basic computer skills and data entry experience
Professional demeanor and strong attention to detail
Ability to work independently and as part of a team

Job Responsibility

Answer incoming customer calls and respond to inquiries in a professional and timely manner
Provide accurate information regarding services, policies, and account details
Document customer interactions and update records in internal systems
Resolve customer concerns or escalate issues to the appropriate department when needed
Maintain confidentiality and follow company policies and procedures
Assist with general administrative tasks and customer follow-up as required

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

New

Senior Designer

We’re seeking a talented freelancer to support a busy content team producing eng...

Location

United Kingdom , London

Salary:

Not provided

Major Players Limited

Expiration Date

Until further notice

Requirements

Strong experience as a Graphic Designer with video editing capability
Proven ability to create high-performing YouTube thumbnails and digital content assets
Experience editing YouTube videos, compilations or Shorts
Knowledge of YouTube metadata, titles and optimisation best practices
Proficiency in Adobe Creative Suite (Photoshop, Premiere Pro, After Effects) or similar tools
Highly organised with the ability to manage high-volume content production efficiently

Job Responsibility

Design thumbnail templates and visual assets for YouTube channels
Create lower thirds and transition graphics for video compilations
Design YouTube channel banners and branded visual assets
Edit and assemble video compilations and YouTube Shorts using existing content
Produce regular content output across multiple channels, ensuring consistent quality and branding
Refresh existing YouTube content including updating thumbnails, titles and metadata to improve performance

Broker Dealer Compliance Consultant

Robert Half

Location:
United States , New York

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Requirements:

Additional Information:

Job Posted:
March 20, 2026

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