U.S. ISG Core Compliance Professional

What you’d do

Coordinate compliance program activities including lessons learned from regulatory enforcement actions, annual reviews of SEC, FINRA and NFA priorities, and mandatory training delivery. Manage annual regulatory certification processes such as Department of Labor LM-10/Form 5500 verification and SEC Rule 15a-6 certification. Full time. Found on the employer's careers page on Oct 16, 2026. Apply through the link.

You’ll need

• Compliance program experience
• Knowledge of SEC, FINRA and NFA regulations
• Training program coordination
• Regulatory certification management