Since 2004,  BakerAvenue  has guided clients through personal and professional transitions. Our firm provides comprehensive wealth management and investment expertise for high-net-worth individuals, families, trusts, foundations, and endowments. We are headquartered in San Francisco with offices in New York, Dallas, Houston, Atlanta, San Diego, and Naples.   At BakerAvenue, we care about our people and believe in the importance of personal connections and collaborative efforts. Our success is driven by the relationships we form with our colleagues and clients. Our values of community, excellence, trust, and inclusion are at the heart of everything we do. These values are our inspiration for how we serve our clients, employees, and the community we share.    BakerAvenue is proud to be recognized by leading companies and organizations for our commitment to excellence. Our award-winning culture has maintained our Great Place to Work certification, and we have earned our...

About Us Sydecar is on a mission to transform the world of private markets. Our goal is to make these markets more accessible, transparent, and liquid, and we're achieving this by revolutionizing the way investment vehicles are created and executed. At Sydecar, we're not just a platform; we're a trusted partner in venture capital. We're dedicated to simplifying and standardizing the private investing experience, empowering capital allocators to discover and support visionary entrepreneurs who are shaping the future. Our platform is designed with ease and efficiency in mind. We take care of all the behind-the-scenes tasks, from automating banking, ensuring compliance, handling contracts, managing taxes, to streamlining reporting. This leaves investors the freedom to concentrate on what matters most: making valuable deals and nurturing meaningful relationships. Join us at Sydecar, as we lead the charge in revolutionizing private investing. Location: Hybrid — San...

Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. Chief Compliance Officer Job Summary The Chief Compliance Officer (CCO) will lead and oversee the compliance program for NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life...

About The Role & Team Webull Advisors is an SEC registered Investment Adviser focused on robo-advisory services. We are looking for a talented compliance professional in St. Petersburg, Florida to join our compliance department. This is a hands-on leadership role. As a 'team of one,' you will be the primary architect and executor of our compliance framework, directly managing day-to-day operations rather than just overseeing a department. In This Role, You Will Build and maintain policies and controls, leading enhancement opportunities by identifying gaps, recommending clear requirements to first-line teams, and tracking resolution. Assess the impact of new regulatory requirements on existing policies and controls and work across teams to amend the same to meet new obligations. Take responsibility for determining whether proposed activities are in compliance with the rules and regulations applicable to a registered investment advisor. Lead and...

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.  As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the...