Featured openings at regulators
Open when we checked. Federal postings use cut-off dates, so apply early.
Assistant Director, Supervisory Securities Compliance Examiner (SK-17) ↗Leads SEC examinations of certain self-regulatory organizations in the Office of FINRA and Securities Industry Oversight. One vacancy in any of 11 SEC offices, including Los Angeles and San Francisco. $171,304 to $292,300.USAJOBS · announcement 27-IN-13084469-CSS
Attorney-Adviser (SK-11/12) ↗Early-career attorney role supporting examinations of broker-dealers and other registered entities. Requires a J.D. and active bar membership. Rolling cut-offs through November 30, 2026.USAJOBS · announcement 26-OCEX-13050853-CSS
Examiner roles, Examinations Team ↗Risk-based examinations of member firms, from entry level to advanced. FINRA accepts examiner applications on an ongoing basis; search "examiner" on its job board.FINRA careers (Workday)
All regulator job boards
Where each securities regulator and self-regulatory organization posts its openings.
FINRA careers ↗Examiners, enforcement, market regulation, risk, technology and registration roles nationwide.
SEC openings on USAJOBS ↗Examiners, accountants, attorneys and industry specialists in Washington and 10 regional offices.
MSRB career opportunities ↗Municipal Securities Rulemaking Board roles in rulemaking, market transparency and technology.
PCAOB job openings ↗Inspections of the auditors of public companies and broker-dealers, plus standards and enforcement.
NFA careers ↗National Futures Association compliance, examinations and registration roles in Chicago and New York.
CFTC openings on USAJOBS ↗Commodity Futures Trading Commission roles in surveillance, examinations, enforcement and economics.
DFPI careers ↗California regulator of broker-dealers and investment advisers; most roles post on CalCareers.
Other state securities regulators ↗Find each state securities regulator, then check its state government job site.
Featured openings at securities firms
Roles at broker-dealers and trading platforms, linked to the employer or recruiter posting.
Series 27 FINOP, online brokerage platform ↗Broker-dealer accounting and FINOP work for a large trading platform: 5+ years of broker-dealer accounting and audit support. Onsite in St. Petersburg, FL. $150,000 to $250,000.Recruiter posting (Jobot)
Compliance Ops Associate, FINRA Series 24 ↗Approves operational and margin items, resolves trade settlement issues with the clearing firm, supports regulatory exams and reviews trade reporting. In person in Parsippany, NJ. Series 7 and 24 required. $50,000 to $75,000 base.Employer posting (Greenhouse)
Broker-Dealer Compliance Analyst ↗Remote role supporting representative onboarding, supervision, surveillance and regulatory responses. FINRA rule knowledge required; Series 7, 24, 79 or 82 a plus.Job board posting (JD Preferred)
Lead, Broker Dealer Compliance ↗Builds and runs the broker-dealer compliance program: SEC and FINRA rules, AML, supervisory procedures and marketing review. New York, in office twice a week. Series 7, 63 and 24 required. $112,000 to $160,000 base.Employer posting (Greenhouse)
Head of Compliance ↗Leads the broker-dealer compliance program and a planned futures commission merchant program: WSPs, surveillance, AML and FINRA, NFA, SEC and CFTC exams. New York, Miami or remote in the US. Series 7, 63 and 24 plus NFA Series 3 (or within 120 days). $150,500 to $279,500 base.Employer posting (Greenhouse)
Accountant, Broker Dealer Accounting ↗Month-end and quarter-end close, reconciliations, audits and FOCUS reporting for an introducing broker. New York, hybrid. Series 27 preferred or willing to obtain.Employer posting
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RND Resources is building a network of independent broker-dealer FINOP and compliance consultants. Work with clients nationwide under the RND brand.
Join the RND consultant network →Listings link to third-party postings. RND Resources is not the employer for any listed role, does not endorse any employer or recruiter, and is not affiliated with FINRA, the SEC or any regulator listed. Details, pay and availability are set by each employer and may change. Links checked October 26, 2026.