Compliance Officer - Broker Dealer / RIA Job at Robert Half (New York)

Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor

In this role, you’ll lead our Securities Compliance team as the Chief Compliance...

Location

United States , San Francisco; New York; Portland

Salary:

242700.00 - 303400.00 USD / Year

Mercury

Expiration Date

Until further notice

Requirements

10+ years of experience working in securities compliance role, ideally at a financial technology company, brokerage, or asset manager
FINRA Series 24 license
additional licenses helpful but not required
Extensive experience with FINRA and SEC regulations on RIAs (Registered Investment Advisor) and BDs (Broker-Dealer)
Experience building regulatory functions from the ground up
Comfort in driving strategy and planning for the function autonomously
Exposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationships

Job Responsibility

Mature our foundational program to manage all of Mercury’s direct regulatory and license obligations, and continually assess our compliance posture in advance of new licensing needs
Supervise employees working on investment-related product offerings and ensure compliance across regulated securities entities (RIA and Broker-Dealer)
Manage examinations/audits (internal and external) or other regulatory inquiries related to licensed activity, including serving as primary point of contact with regulatory bodies
Work across Compliance and key cross functional teams to ensure direct regulatory requirements are sufficiently addressed through compliance programs, product solutions or new operational builds
Support governance efforts on behalf of Mercury’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance health
Support the Compliance function in defining and achieving departmental initiatives, maintaining product support playbooks and best practices, developing and documenting scalable solutions, and liaising with external parties
Contribute to building a strong culture of compliance across Mercury’s teams

What we offer

base salary, equity, and benefits

Fulltime

New

Long Haul Dispatcher

Transport Bourassa, a fast-growing company, is looking for a Long-Haul Dispatche...

Location

Canada , Saint-Jean-sur-Richelieu

Salary:

Not provided

TRANSPORT BOURASSA INC.

Expiration Date

Until further notice

Requirements

Bilingual (spoken and written) for communication with clients
Ability to manage multiple priorities in a dynamic environment
Strong judgment and quick decision-making skills
Experience in a similar role (an asset)
Proficiency with transportation management tools (TMS, GPS, etc.)
Strong team spirit and solution-oriented mindset

Job Responsibility

Coordinate long-haul truck movements efficiently and accurately
Optimize loads, timelines, and overall transportation productivity
Monitor delivery and pickup statuses to meet client agreements and deadlines
Work closely with operations and logistics teams
Maintain constant communication with drivers and clients
Ensure high service levels and compliance with federal transportation regulations
Perform any other related tasks as assigned

What we offer

Group and dental insurance (50% of premiums paid by the employer)
Subsidized daycare reserved for employees, located on-site
3 weeks of vacation after 2 years
Employer contributions to a retirement savings plan (RRSP)
On-site gym accessible 24/7
Various rewards throughout the year (Christmas gifts, team lunches, etc.)
A Christmas party you won’t want to miss!

Fulltime

New

Full Stack Developer

We are looking for a highly motivated Full Stack Engineer who is driven by curio...

Location

Australia , Melbourne

Salary:

Not provided

Woolworths Supermarkets

Expiration Date

Until further notice

Requirements

Minimum of 3 years commercial development experience
Strong experience with the .NET stack, especially C#, ASP.NET Core, building REST APIs and exposure within Cloud technologies ideally with AWS
Solid front-end experience, ideally with React or similar technologies in production environments
A strong grasp of modern software design practices, including OOP, design patterns, and dependency injection
Comfortable working with Entity Framework Core and designing SQL databases
The ability to explain ideas clearly and collaborate effectively across engineering, product, and business teams
Exposure to LLM platforms, prompt engineering, machine learning model training concepts, and large datasets

Job Responsibility

Design & Build at Scale: Work closely with senior engineers and the tech lead to design, build, and evolve our serverless, event-driven systems
Go Full Stack: Work fluidly across the back end and front end, from building REST APIs to shaping UI components and refining existing code
Polyglot Persistence: Work with large datasets and select the right tool for the job across PostgreSQL, MongoDB, and MSSQL
Collaborate & Shape: Provide technical input to translate high-level requirements from Product Managers and Business Analysts into implementable, highly observable solutions
Solve Hard Problems: Help automate manual processes and integrate AI/LLM models to handle our highly sophisticated product import and enrichment routines
Ensure Excellence: Review designs to ensure they meet our strict standards for performance, reliability, and scalability

What we offer

Access to Sonder - free confidential 24/7 personalised financial, medical safety, psychological or physical support for team members and their families
A progressive and competitive leave policy
Team discounts across our range of Woolworths Group brands

Fulltime

New

Embedded Software Engineer

This is where your work saves lives. As an Embedded Software Engineer, you will ...

Location

United States , Skaneateles Falls

Salary:

88000.00 - 121000.00 USD / Year

Baxter

Expiration Date

Until further notice

Requirements

Bachelor's degree in Computer Science, Computer Engineering, Electrical Engineering, or a related field, with 0 + years of experience in software or embedded systems development (including internships, co-ops, or academic projects)
Knowledge in C++ and a UI framework (Qt, JavaScript, React), with an understanding of object-oriented programming concepts
Familiarity with embedded systems concepts and basic exposure to embedded Linux or similar environments through coursework or projects
Strong analytical skills, attention to detail, and awillingness to learn and ask questionswhen solving technical challenges
Ability to communicate clearly, work well in a team environment, and accept feedback as part of continuous improvement
Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time.

Job Responsibility

Develop Embedded Software Components
Collaborate with the Team
Learn and Apply Best Practices
Support Testing and Debugging
Contribute to Documentation
Grow Your Technical Skills

What we offer

Support for Parents
Continuing Education/ Professional Development
Employee Heath & Well-Being Benefits
Paid Time Off
2 Days a Year to Volunteer
medical and dental coverage
insurance coverage for basic life, accident, short-term and long-term disability, and business travel accident insurance
Employee Stock Purchase Plan (ESPP)
401(k) Retirement Savings Plan (RSP)
Flexible Spending Accounts

Fulltime

New

Process and Data Analyst/Process Engineer

This role is part of Enterprise Excellence CitiLean Reengineering Team based out...

Location

India , Gurgaon

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Ability to provide structural thinking to data and analysis
Excellent Power Point and Excel Skills (Must Have)
Excellent Problem Solving Skills and ability to work with cross functional teams
Good Articulation and Communication skills
Adaptability and flexibility to changing requirement
Ability to challenge status quo
Understanding of new emerging technologies
Ability to influence, negotiate, and resolve conflicts as well as deal effectively with senior leaders from all functional backgrounds on all aspects of business operations
3-5 years experience in bank services
Bachelor’s/University degree or equivalent experience

Job Responsibility

Learn and apply Lean Methodology and Framework to solve key business problems
Support Senior Project team to develop strategic problem statement and develop mobilization plan
Process Mapping and analysis to identify problem/opportunities
Develop Hypothesis and identify key pain points
Establish data requirements and conduct data analysis to validate pain points
Conduct Root Cause analysis with process SMEs
Support Interim and End state solution design and development
Plan and schedule project milestones using appropriate tools
Track main project milestones and deliverables
Deliver and maintain progress reports, proposals, requirements documentation and presentations

Fulltime

New

Java Developer

Location

India , Chennai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

2-5 years of relevant experience
Experience in programming/debugging used in business applications
Working knowledge of industry practice and standards
Comprehensive knowledge of specific business area for application development
Working knowledge of program languages
Consistently demonstrates clear and concise written and verbal communication
Bachelor's degree/University degree or equivalent experience

Job Responsibility

Utilize knowledge of applications development procedures and concepts, and basic knowledge of other technical areas to identify and define necessary system enhancements
Identify and analyze issues, make recommendations, and implement solutions
Utilize knowledge of business processes, system processes, and industry standards to solve complex issues
Analyze information and make evaluative judgements to recommend solutions and improvements
Conduct testing and debugging, utilize script tools, and write basic code for design specifications
Assess applicability of similar experiences and evaluate options under circumstances not covered by procedures
Develop working knowledge of Citi's information systems, procedures, standards, client server application development, network operations, database administration, systems administration, data center operations, and PC-based applications
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Fulltime

New

ProdOps Ci - Java Developer - Assistant Vice President

The Infrastructure Senior Technology Analyst is an intermediate level role respo...

Location

India , Chennai

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

5-8 years of experience in Infrastructure Technologies delivery with a proven track record of operational process change and improvement
Ability to communicate technical concepts to non-technical audience
Ability to work with virtual and in-person teams, and work under pressure or to a deadline
Experience in a Financial Services or large complex and/or global environment preferred
Effective written and verbal communication skills
Effective analytic/diagnostic skills
Bachelor’s/University degree or equivalent experience

Job Responsibility

Create complex project plans, perform impact analyses solve/work high impact problems/projects, and provide resolutions to restore services
Drive Root Cause Analysis (RCA) post restoration of service
Design testing approaches, complex processes, reporting streams, and create automation of repetitive tasks
Review requirement documents, define hardware requirements and examine and update processes and procedures as necessary
Provide technical/strategic direction and act as advisor/coach to lower level analysts
Develop projects required for design of metrics, analytical tools, benchmarking activities and best practices
Responsible for overall operating system applications
Contribute to technical direction and strategic decisions
Has the ability to operate with a limited level of direct supervision
Can exercise independence of judgement and autonomy

Fulltime

New

Requisition to Pay Analyst

The Accounts Payable Analyst processes PO requests, processes invoices for payme...

Location

Mexico , Miguel Hidalgo

Salary:

Not provided

Pepsico

Expiration Date

Until further notice

Requirements

Fluent in English
Bachelor's degree in Business/Control/Operations
Ability to work within strict deadlines, learn new processes quickly, work effectively with a team and adapt to constantly evolving work responsibilities
Must have strong analytical and problem-solving skills to formulate effective action plans to deal with issues proactively
Fluent with data, and proven ability to utilize Excel to extract necessary data when needed
Exceptional organizational skills to handle the high volume of requests
Ability to effectively communicate in a professional and constructive manner internally and with customers
Advanced/Proficient Computer Skills (Outlook, Word, Power Point, Excel)
Strong passion for customer service
Ability to effectively interact and build a favorable business relationship with internal and external customers

Job Responsibility

Support of Requisition to Pay and Invoice Processing tasks including, but not limited to: Timely and Accurate PO Request Submission via Supplier Portal
Timely and Accurate Invoice Processing for Payment via MyBuy
Research, Troubleshoot, and Resubmit any Invoice Issues
Analyze any trends with invoice processing to identify root causes, and areas of improvement
Manage Supplier Set-up Process, ensuring all critical inputs are gathered from field teams and suppliers, and processed
Manage Perm Merch Process, working with Division Perm Merch Lead and Field Sales Reps to ensure all deadlines and deliverables are met
Assist with Uniform Ordering Process, following PO Request and Invoice Processing steps along with coordination with local hiring team
Provide Field Location Leaders with ad-hoc support as needed, and periodic updates on process improvement opportunities

What we offer

Opportunities to learn and develop every day through a wide range of programs
Internal digital platforms that promote self-learning
Development programs according to Leadership skills
Specialized training according to the role
Learning experiences with internal and external providers
Recognition programs for seniority, behavior, leadership, moments of life, among others
Financial wellness programs that will help you reach your goals in all stages of life
A flexibility program that will allow you to balance your personal and work life, adapting your working day to your lifestyle
Wellness Line, thousands of Agreements and Discounts, Scholarship programs for your children, Aid Plans for different moments of life, among others

Fulltime

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Compliance Officer - Broker Dealer / RIA

Job Responsibility

Requirements

What we offer

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