USAAHiring

Compliance Risk Manager Senior, Broker/Dealer

  • USD 103,450 to 197,730 per year
  • Remote, United States
  • Lead
  • Posted 9 days ago
Apply with Keywordise AI

or apply from Claude / ChatGPT / Muse

In one line

Senior compliance role ensuring regulatory adherence for broker/dealer operations, with a focus on risk management and regulatory guidance.

About the role

This position provides independent oversight to ensure business products and processes comply with regulatory requirements. It involves close collaboration with business units to identify and manage compliance risks.

At a glance

Pay
USD 103,450 to 197,730 per year
Remote scope
Remote, United States
Seniority
Lead
Skills
Compliance, Risk Management, FINRA Rules
Posted
20 Oct 2026
Last checked
27 Oct 2026

What you will do

  • Coordinate market conduct examinations and regulatory data calls
  • Provide guidance to ensure alignment with legal and regulatory requirements
  • Review and implement planning for new laws and regulations
  • Collaborate with various departments to manage compliance risks

What they look for

  • 6+ years in compliance, risk, legal, or audit within financial services
  • Advanced knowledge of compliance laws and regulations
  • Series 7 and 24 securities licenses
  • Experience working with regulators and FINRA rules

Benefits

  • Flexible work environment with office attendance required 4 days per week

How Keywordise applies for you

  1. 1Upload your CVAdd your CV once. It takes about a minute.
  2. 2Tailored to this jobKeywordise writes a CV and a cover letter for this job from your real experience.
  3. 3The form fills itselfName, email, experience and screening questions, field by field.
  4. 4Application sentYou get a receipt and follow it in your dashboard.

Apply with Keywordise AI7-day free trial, no card.

Apply from your AI assistant

Connect Keywordise to your assistant once, then send it the prompt. It applies for you.

ClaudeConnectorChatGPTConnectorMuseby Meta

Claude

  1. In Claude, open Settings, then Connectors, and choose Add custom connector.
  2. Name it Keywordise and paste the connector URL.
  3. Click Connect, log in to Keywordise and approve. Then send the prompt in a new chat.
Connector URL
https://keywordise.com/mcp

Disconnect any time in your Keywordise settings.

ChatGPT

  1. In ChatGPT, open Settings, then Connectors. On plans that need it, turn on developer mode first.
  2. Add a new connector with the connector URL and choose OAuth. Leave the client ID and secret empty.
  3. Log in to Keywordise and approve. Then send the prompt in a new chat.
Connector URL
https://keywordise.com/mcp

Disconnect any time in your Keywordise settings.

Muse

  1. Open Muse (muse.ai or the app) and send it the message below.
  2. If Muse asks how to sign in, answer OAuth. Open the sign-in link it sends, log in to Keywordise and approve.
  3. Send the prompt. Muse asks before it sends anything.
Message for Muse
Add a custom connector called Keywordise. It is a remote MCP server at https://keywordise.com/mcp and uses OAuth. Give me the sign-in link.

Muse is available in the US only for now.

Prompt
Apply to Keywordise job whrqylkwaf
How to connect

Questions about this job

Can I do this job remotely, and from which countries?

The posting lists it as remote for people in the United States.

What does this job pay?

The posting states USD 103,450 to 197,730 per year.

What experience is needed?

It is a lead role. The posting asks for: 6+ years in compliance, risk, legal, or audit within financial services; advanced knowledge of compliance laws and regulations; series 7 and 24 securities licenses. Skills it names include Compliance, Risk Management, FINRA Rules.

How do I apply with Keywordise AI?

Select Apply with Keywordise AI, sign up and upload your CV. Keywordise writes a CV and a cover letter for this job from your real experience and applies for you. The 7-day free trial needs no card.

More remote business and finance jobs

All remote business and finance jobs
USAARemote, United States
Apply with Keywordise AI